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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 
26     The securities firm shall append the customer's wealth management account number after the trust assets account number to distinguish it.
    A securities firm conducting wealth management business by means of trusts shall make itemized entries on a daily basis of all receipts, payments, and asset allocation status, and shall keep records of the receipts and payments and corresponding allocations.
    The method of fund transfer between the securities firm and its customers and other institutions shall be limited to inter-account transfer.