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Laws

Title：

Directions for the Conduct of Wealth Management Business by Securities Firms  CH

Announced Date： 2005.07.27
Amended Date： 2025.06.30 (Articles 2, 4 amended,English version coming soon)
Current English version amended on 2022.11.07 
Article Content Content Search Article No. Search Legal Basis Amended Article Legislative History Chinese
Content Article In Change10. Points 2, 7, 16, 19, 27, 29, and 32 to 34 amended and Point 18 deleted per 7 November 2022 Order No. Financial-Supervisory-Securities-Firms-1110384693 of the Financial Supervisory Commission; for immediate effect
Content Article In Change 9. Point 6 amended and issued per 10 September 2020 Order No. Financial-Supervisory-Securities-Firms-10903641007 of the Financial Supervisory Commission; for immediate effect
Content Article In Change 8. Points 5, 6, 10, and 32 amended and issued per 21 January 2015 Order No. Financial-Supervisory-Securities-Firms-10300522231 of the Financial Supervisory Commission; for immediate effect
Content Article In Change 7. Point 4 amended and issued per 28 August 2014 Order No. Financial-Supervisory-Securities-Firms-10300309881 of the Financial Supervisory Commission
Content Article In Change 6. Points 1, 4 to 6, and 9 to 11 amended and issued per 30 December 2013 Order No. Financial-Supervisory-Securities-Firms-10200526741 of the Financial Supervisory Commission; for immediate effect
Content Article In Change 5. Point 6 amended and issued per 24 October 2011 Order No. Financial-Supervisory-Securities-Firms-1000049852 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 4. Full text of 35 points amended and issued per 28 September 2009 Order No. Financial-Supervisory-Securities-Firms-0980050616 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 3. Full 29 points amended and issued per 11 April 2008 Letter No. Financial-Supervisory-Securities-II-097001407 of the Financial Supervisory Commission, Executive Yuan; for immediate effect
Content Article In Change 2. Points 2 and 17 amended and issued per 30 May 2006 Letter No. Financial-Supervisory-Securities-II-0950002530 of the Financial Supervisory Commission, Executive Yuan
1. Full text of 18 points adopted and issued per 27 July 2005 Letter No. Financial-Supervisory-Securities-II-0940003314 of the Financial Supervisory Commission, Executive Yuan