Regulatory Alerts2026-04-10
Added · Updated
FSC Amends Regulations on Securities Firms’ Trading of Foreign Securities and Wealth Management Business Rules
The Financial Supervisory Commission amended Article 6-1 and Article 6-2 of the Regulations Governing Securities Firms Accepting Orders to Trade Foreign Securities and partial requirements of the Directions for the Conduct of Wealth Management Business by Securities Firms. The amendments ease application qualifications for high-asset customer business by deleting net value restrictions and adding requirements for the absence of cumulative losses and compliance with debt-to-equity ratio restrictions. The scope of sales counterparties for offshored structured products is expanded to include juristic persons, funds, and natural persons of professional investors, and securities dealers are permitted to conduct wealth management via trust and offer foreign-currency structured financial bonds to professional investors.
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