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Article 30-3
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For customized structured instruments sold by a securities firm, it shall establish mechanisms for the internal prior review and subsequent follow-up of the new type of instrument, and before conducting the sale of a new type of instrument, shall scrupulously carry out the review in accordance with those mechanisms.
The content of the prior review mechanisms of the preceding paragraph at least shall include the following particulars:
1. Review of the nature of the instrument.
2. Review of the operational strategy and business policy.
3. Review of risk management.
4. Review of internal controls.
5. Review of accounting methods.
6. Review of relevant legal and regulatory compliance and of required legal documents.
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