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Article NO. Content

Title:

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

Amended Date: 2017.11.27
Article 32     When a securities firm calculates the amount of the combination of the non-restricted purpose loan business and the securities business money lending, for each securities or beneficiaries certificate eligible as collateral for financing, the outstanding balance of financing shall not exceed 5% of the of such TWSE or TPEx listed stocks or beneficial right; the total amount of non-restricted purpose loan business, the securities business money lending, credit transaction business financing balance, and the balance of securities finance business handling securities delivery shall not exceed 25% of such TWSE or TPEx listed stocks or beneficial right.
    If the total amount of non-restricted purpose loan business, the securities business money lending, credit transaction business financing balance, and the balance of securities finance business handling securities delivery exceed 20% of such TWSE or TPEx listed stocks or beneficial right, the outstanding balance shall be distributed in proportion. The distribution method will be enacted by TWSE or TPEx and submit to the competent authority for approval.
    For the security reaches the outstanding balance set forth in paragraph 1, the adjustment may be made by the TWSE for the non-restricted purpose loan business.