Regulations Governing Internal Audit and Internal Control System of Anti-Money Laundering and Countering Terrorism Financing of Securities and Futures Business and Other Financial Institutions Designated by the Financial Supervisory Commission Article 3
Securities and futures business and other financial institutions designated by the FSC launching new products or services or engaging in new business practices shall assess the money laundering or terrorism financing risks that may arise in relation thereto, and establish relevant risk management measures to mitigate those identified risks.
中文原文 證券期貨業及其他經金融監督管理委員會指定之金融機構防制洗錢及打擊資恐內部控制與稽核制度實施辦法第3條
證券期貨業及其他經本會指定之金融機構於推出新產品或服務或辦理新種業務前，應進行產品之洗錢及資恐風險評估，並建立相應之風險管理措施以降低所辨識之風險。