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Article NO. Content


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

Amended Date: 2020.09.10 (Articles 6 amended,English version coming soon)
Current English version amended on 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.