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Article NO. Content

Title：

Corporate Governance Best-Practice Principles for Securities Firms  CH

Amended Date： 2023.02.08 (Articles 3-2, 3-3, 3-4, 10-1, 18, 24, 27, 28-4, 37, 37-2, 37-3, 40, 51, 62, 63 amended,English version coming soon)
Current English version amended on 2021.05.04 
Categories： Corporate Governance
Article Content Chapter Content Search Article No. Search Amended Article Legislative History Chinese
Article 14     A securities firm shall clearly identify its management objectives and the allocation of authorities and responsibilities over personnel, assets and financial matters of its affiliated enterprises, and shall conduct risk evaluation and establish appropriate firewalls.