• Font Size:
  • S
  • M
  • L

Article NO. Content


Regulations Governing Securities Firms Trading in Securities on a Fixed-Term, Fixed-Amount Basis  CH

Amended Date: 2018.08.06 
Categories: Securities Exchange Market > Trading > Securities Transaction
Article 11     A securities firm conducting the Fixed-Term, Fixed-Amount Trading shall collect advance payment or reserve certain funds as prepayment on the deduction date in accordance with contract.
    The provisions of the Operation Directions for the Advance Collection of Funds and Securities by Securities Brokers in Brokerage Trading shall apply mutatis mutandis to collection of advance payment in the preceding paragraph. Reservation of funds shall follow the applicable terms and conditions under the contract between the securities firm and its client.