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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 5     A securities firm conducting the Fixed-Term, Fixed-Amount Trading shall establish its internal control system for each trading method under Article 3.
    The internal control system in the preceding paragraph shall state the following information:
  1. Step-by-step procedure for the Fixed-Term, Fixed-Amount Trading and related control method.
  2. Other required information specified by the competent authority.