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Article NO. Content

Title：

Operation Directions for Inquiries of Customer Data by Employees of Securities Firms  CH

Announced Date： 2011.06.24 
Categories： Market Supervision > Regulation of Securities Firms
Article Content Content Search Article No. Search Legislative History Chinese
6     The securities firm shall establish an audit system for customer data files, and the auditors shall audit the management of customer data files on a periodic or aperiodic basis.