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Article NO. Content


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

Amended Date: 2022.11.07 
20     A securities firm shall adopt relevant risk management mechanisms in accordance with the working procedures and mechanisms, and shall analyze and monitor related risks for the products and services that it provides, and take appropriate response measures.
    When implementing response measures referred to above, a securities firm shall take care to avoid prejudicing the rights and interests of customers.