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Article NO. Content


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

Amended Date: 2022.11.07 
35     If a securities firm or any of its associated persons violates these Directions in conducting wealth management business, the FSC may impose sanctions commensurate with the seriousness of the circumstances pursuant to Articles 56, 65, and 66 of the Securities and Exchange Act and the provisions of the Trust Enterprise Act..