• Font Size:
  • S
  • M
  • L
友善列印
WORD

Article NO. Content

Title:

Operating Rules for Securities Firms Handling Non-Restricted Purpose Loan  CH

Amended Date: 2017.11.27
Article 28     A securities firm conducting non-restricted purpose loan business may not engage in transactions with any party having any of the following relationships with it:
  1. A director, supervisor, representative of a juristic-person director or juristic-person supervisor, employee, or shareholder holding more than 10% of the total shares, of the securities firm.
  2. A spouse of a director or supervisor, or of a representative of a juristic-person director or juristic-person supervisor, of the securities firm.
  3. A minor child of a person of a status specified in subparagraph 1 herein.
    A securities firm shall incorporate the provisions of the preceding paragraph into its internal control system.