Legal Compliance

Fubon Securities

Fubon Securities has established internal guidelines and operating policies to protect investor rights and satisfy customers’ diverse wealth management needs. It has also strengthened education on securities laws and statutes, familiarizing all employees with regulations related to their jobs. When services and products are offered, for example, appropriate procedures and management mechanisms keep customers’ personal information secure.

Fubon Securities’ “Administrative Guidelines for Advertising Planning and Media Purchases” ensure that advertising and publicity materials will not mislead customers. The guidelines set standards for managing the quality and content of all promotional materials and commit the company to providing informative information on consumer finance and verifying the accuracy of the content. Finally, every service and product is checked to see that it complies with relevant regulations to protect consumers’ rights and interests.