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Article NO. Content

Title:

Operating Rules for Securities Firms Handling Margin Purchases and Short Sales of Securities  CH

Amended Date: 2023.12.28 (Articles 8, 13, 20, 57, 78 amended,English version coming soon)
Current English version amended on 2023.08.17 
Categories: Securities Exchange Market > Margin Transaction
Article 68     A securities firm shall maintain accurate and detailed records of and receipt/payment vouchers for funds and securities received and paid in conducting the business of securities trading margin purchase and short sale and refinancing from securities finance enterprises, and shall prepare the following statements on a daily basis:
  1. Daily operations statement of margin purchases and short sales.
  2. Summary statement and itemized statement of increments, settlement, and balances of margin purchases and short sales.
  3. Itemized statement of receipts, deliveries, disposals, and uses of collateral for margin purchases and short sales.
  4. Statement of settlement with cash and spot securities.
  5. Summary statement of margin calls and deposits.
  6. Itemized statement of deposits of securities or other merchandise as collateral.
  7. Itemized statement of refinancing applications and settlements.
  8. Itemized statement of refinancing balance.
  9. Itemized statement of collateral for refinancing.
  10. Summary statement and itemized statement of increments, settlement, and balances of margin purchases and short sales.
  11. Itemized statement of performance bond.