| 1. | Participants : wealth managers of china
参加者:中国地区的财富管理专家 |
| 2. | The securities firm shall employ ongoing training to improve the professional ethics of wealth managers
二)证券商应透过持续教育训练等方式，加强办理本项业务人员之职业道德。 |
| 3. | The study also suggested that in future , wealth managers will be responsible for investing a greater proportion of their clients wealth
研究还表明，未来财富经理负责代理其客户投资的财富比例将进一步扩大。 |
| 4. | Standards or supervisory measures shall be adopted to govern the direct or indirect acceptance by wealth managers of gifts from customers or third parties
五)有关业务人员直接或间接接受客户或第三人之馈赠应订定规范标准或管理措施。 |
| 5. | Wealth managers and private banks talk of clients whose main concern is ascertaining the appropriate amount of money that they should pass on to their offspring
财富管理机构与私人银行提到，有些客户最关心的，就是确定他们留多少钱给后代才合适。 |
| 6. | A wealth manager shall implement a check procedure to confirm whether a customer is involved in money laundering or unlawful transactions , and shall furnish a written report of confirmation
业务人员应针对客户有无涉及洗钱与不法交易执行检查程序并出具确认报告书。 |
| 7. | Persons other than dedicated personnel of the wealth management department may neither sell products in the name of wealth management nor carry on business in the name of wealth managers
非财富管理业务专责部门之人员，不得以财富管理之名义或以理财人员名义执行业务。 |
| 8. | 6 to conduct wealth management business , a securities firm shall establish a dedicated department and personnel , independent of other departments , and charge such department with the duties of business planning and implementation , and management of wealth managers
六、证券商办理本项业务应独立于其他业务部门之外，设立专责部门与人员，负责业务之规划与执行及业务人员之管理。 |
| 9. | To enhance the competence of wealth managers , a securities firm shall on an ongoing basis administer education and training for such personnel and shall , for all working procedures and rules , adopt standard operating procedures for compliance by wealth managers
为提升财富管理业务从业人员之素质，证券商应持续进行人员之教育训练，并依各项作业程序规范订定业务人员标准作业程序，提供予业务人员，以资规范。 |
| 10. | Currently , under half of all wealth managers hold more than 40 per cent of their clients ' investable wealth - but over the next three years this proportion is expected to increase dramatically so that 80 per cent of wealth managers hold 40 per cent of a client ' s wealth
目前，不到半数的财富经理管理着其客户逾40 %的可投资财富- -但未来3年内，这一比例有望大幅提高，届时80 %的财富经理将管理着客户40 %的财富。 |
