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Article NO. Content


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
7     The securities firm shall establish a perusal request system for customer data regarding account opening, credit checking, trading, and safekeeping, to ensure that no one may request to peruse, photocopy or print such data except pursuant to laws and regulations or as authorized and approved; no one's seal or signature card of customers may be photocopied or printed except as required for audits by auditors.