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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 
28     Upon obtaining any notification delivered by an issuer of financial instruments or any other material in connection with rights and interests of a customer, the securities firm shall immediately forward them to the trust settlors and beneficiaries, and shall compile a reconciliation statement each month and deliver the same to each trust settlor and beneficiary for inspection by the 10th day of the following month.