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Article NO. Content


Operating Rules for Securities Firms Handling Non-Restricted Purpose Loan  CH

Amended Date: 2022.01.14 (Articles 1, 2, 4, 9, 11, 16, 17, 18, 20 amended,English version coming soon)
Current English version amended on 2021.04.01 
Categories: Securities Exchange Market > Borrowing of Money
Article 14     Notice of matters by a securities firm as required under these Operating Rules shall be effected by mail or personal signature confirming of the receipt by the client, or subject to the consent of the client, be effective by correspondence or electronic means and such notification methods shall be clearly stated in the non-restricted purpose loan contract.
    Where a securities firm's notice sent by mail cannot be delivered on time because the client fails to make notice under the preceding article, or due to other reason attributable to the client, such notice shall be deemed effective on the date of the post office's first delivery attempt.
    Where the client signs in person to acknowledge receipt of a securities firm's notice, the client's signature or seal shall match the signature on the original non-restricted purpose loan contract or the original seal/signature-of-record and shall be accompanied by the date.