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Article NO. Content


Guidelines for the Commission Agency Services of Securities Firms for Investment in the Money Market of Settlement Money Payable to Clients from Securities Transactions Undertaken on Behalf of Clients  CH

Amended Date: 2015.03.31 
Categories: Market Supervision > Regulation of Securities Firms
Article 10     When providing the Services, the securities firm shall distribute the losses or profits from the same underlying investment of the client according to the ratio of the investment amount of the client and other agreed terms, and add the profits to the original funds for further utilization or for return to the client.
    The securities firm providing the Services shall be responsible for any and all monetary losses caused by malpractice without jeopardizing the client's rights and interests.