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Article NO. Content

Title:

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

Amended Date: 2015.01.21 
9     To conduct wealth management business, a securities firm that conducts wealth management business shall establish a dedicated department in its head office, and charge the department with the duties of business planning and implementation, and management of personnel.
    The personnel of a securities firm's head office or branch unit conducting wealth management business shall meet the conditions and qualifications required for associated persons conducting wealth management business. Persons failing to meet such conditions and qualification may neither sell products in the name of wealth management nor carry on business in the name of wealth managers.