Regulations Governing Banks Conducting Financial Products and Services for High-Asset Customers Article 9
Banks that are approved to conduct the business shall be permitted to implement operations for the period of three years starting from the date of authorization. Banks shall report the following business operation conditions to the FSC for review six months before the expiry of the period as the basis for the approval of the continued operation or termination of the business.1. Business implementation results, scale, and benefits.2. Internal control and risk management conditions.3. Presence of material customer complaints, disputes, and processing status.4. Implementation details of advanced talent cultivation and training, and participation in promoting talent optimization and industrial development of Taiwan’s wealth management services.5. Development of innovative domestic financial products.
中文原文 銀行辦理高資產客戶適用之金融商品及服務管理辦法第9條
銀行經核准開辦本業務，自核准日起算三年為辦理期限。
銀行應於該辦理期限屆滿六個月前，將下列業務辦理情形函報本會審查，作為核准續辦或終止本業務之考量：
一、業務辦理成果、規模及效益。
二、內部控制及風險控管情形。
三、有無重大客訴爭議案件及處理情形。
四、進階人才培訓及參與推動我國理財服務之人才優化及產業發展之辦理情形。
五、發展創新性境內金融商品情形。
銀行應於該辦理期限屆滿六個月前，將下列業務辦理情形函報本會審查，作為核准續辦或終止本業務之考量：
一、業務辦理成果、規模及效益。
二、內部控制及風險控管情形。
三、有無重大客訴爭議案件及處理情形。
四、進階人才培訓及參與推動我國理財服務之人才優化及產業發展之辦理情形。
五、發展創新性境內金融商品情形。