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Article NO. Content


Guidelines for Securities Firms to Allow Investors to Create Trading Conditions on Placing Orders  CH

Announced Date: 2020.04.20 
Categories: Market Supervision > Regulation of Securities Firms
Article 5     For Conditional Order Placing, if an order is placed through the Internet, a securities firm shall keep all related information including investor's original order information, order information when conditions are triggered, and electronic signature issued by the certification institution, and shall specify, in the column of how order is place in the trading order record that the order is being placed with trading conditions created through the Internet and computer program to earmark the order.
    For Conditional Order Placing, if an order is place in person, a securities firm shall provide a written form for placing order on conditions, listing the accepted conditions, to be completed by investor and enclosed at the end of the order ticket as evidence for future auditing and resolution of disputes, if any.