• Font Size:
  • S
  • M
  • L

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 21     The securities firm shall establish the method as to how evidence, records or documents such as transaction confirmations, account statements and relevant notices sent from the fund companies shall be kept as part of its internal control system, and regularly check the balance of beneficiary units transacted with the funds in the Investment Account against the number of beneficiary units in inventory and keep a written confirmation.