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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 
18     In formulating various rules and procedures, a securities firm conducting wealth management business shall strengthen money laundering prevention measures in accordance with the Money Laundering Control Act and related provisions, and shall provide for participation by wealth managers, internal auditors, and legal compliance personnel in a money laundering prevention education and training program, to include regular training sessions focusing on how to recognize and track unusual and suspicious transactions.