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Article NO. Content


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

Amended Date: 2022.11.07 
2     The term "wealth management business" refers to a securities firm, through its associated persons, providing a high net worth customer with the following services according to the demands of the customer:
  1. 1. Consulting in connection with asset allocation or financial planning, or services in connection with the sale of financial products..
  2. 2. Conducting financial planning and the execution or handling of asset allocation on behalf of the customer by means of a trust.
    Each individual securities firm sets its own criteria, based on its operational strategies, or with reference to the criteria for professional investors under Article 3 of the Regulations Governing Offshore Structured Products, for what constitutes a "high net worth customer" as set out in the preceding paragraph.