• Font Size:
  • S
  • M
  • L

Article NO. Content


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

Amended Date: 2022.11.07 
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.