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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 16     A securities firm purchasing securities with its omnibus trading account for Fixed-Term, Fixed-Amount Trading may be exempt from the obligations to report details of trading requests from individual clients and service providers under the Securities Exchange's for TPEx's Operational Guidelines for Omnibus Trading Accounts.
    The Securities Firm or TPEx may, as needed for business, notify a securities firm to provide real-time information about transactions and trading requests through omnibus trading account for Fixed-Term, Fixed-Amount Trading.