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Article NO. Content

Title：

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 Content Chapter Content Search Article No. Search Amended Article Legislative History Chinese
Article 9     The securities firm must clearly inform the client of the associated conflict of interest and control measures and obtain the client's written consent, or it may not use the funds in the Investment Account to engage in the transactions described in the preceding article with a company in which the securities firm has a stake.