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Article NO. Content

Title:

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

Amended Date: 2015.01.21 
14     The work procedures adopted by securities firms for surveillance of unusual or suspicious transactions shall at least include the following:
  1. Establishing a management system that identifies, tracks, and controls unusual or suspicious transactions.
  2. Establishing management-by-exception mechanisms for banking activities of higher risk customers and, on the basis of past transactions or case reports from relevant agencies, establishing a database (dossiers) on unusual and suspicious transactions that is sufficient to the development and complexity of the business.