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Laws

Title:

Taiwan Stock Exchange Corporation Securities Borrowing and Lending Rules  CH

Announced Date: 1911.00.00
Amended Date: 2019.09.26 
Categories: Securities Exchange Market > Borrowing of Securities
Content Article In Change55. Article 16 amended per 26September 2019 Public Announcement No. Taiwan-Stock-Trading-1080017350 of the Taiwan Stock Exchange Corporation; for implementation from 30September2019
Approved per 24September 2019 Letter No. Financial-Supervisory-Securities-Trading-1080360402 of the Financial Supervisory Commission
Content Article In Change 54. Article 45 amended per 24 December 2018 Public Announcement No. Taiwan-Stock-Trading-1070024227 of the Taiwan Stock Exchange Corporation; for implementation from 23 March 2020
Approved per 10December 2018 Letter No. Financial-Supervisory-Securities-Trading-1070119296 of the Financial Supervisory Commission
Content Article In Change 53.Article 45 amended, and Article 45-1 added, per 22August 2018Public Announcement No. Taiwan-Stock-Trading-1070016383 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 21 August 2018 Letter No. Financial-Supervisory-Securities-Trading-1070329116 of the Financial Supervisory Commission
Content Article In Change 52. Article 14 amended per 17 July 2017 Letter No. Taiwan-Stock-Trading-1060012646 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 10 July 2017 Letter No. Financial-Supervisory-Securities-Trading-1060021899 of the Financial Supervisory Commission
Content Article In Change 51. Articles 10, 25 and 33 amended, and Articles 12-1 added, per 28 March 2017 Letter No. Taiwan-Stock-Trading-1060004957 of the Taiwan Stock Exchange Corporation; for implementation from 31 July 2017 in line with the revision schedule of the computer system.
Approved per 23 March 2017 Letter No. Financial-Supervisory-Securities-Trading-1060004469 of the Financial Supervisory Commission
Articles 49-1 and 56 amended per 28 March 2017 Letter No. Taiwan-Stock-Trading-1060004998 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 23 March 2017 Letter No. Financial-Supervisory-Securities-Trading-1060006894 of the Financial Supervisory Commission
Content Article In Change 50. Articles 9, 26, 33~33-3, 36 and 48 amended, and Articles 10-1, 14-2 and 31-1 added, per 6 February 2017 Letter No. Taiwan-Stock-Trading-1060001456 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 23 January 2017 Letter No. Financial-Supervisory-Securities-Trading-1050049555 of the Financial Supervisory Commission
Content Article In Change 49. Article 15 amended per 20 December 2016 Letter No. Taiwan-Stock-Trading-1050024089 of the Taiwan Stock Exchange Corporation; for implementation from 9 January 2017
Approved per 9 December 2016 Letter No. Financial-Supervisory-Securities-SITC-1050046067 of the Financial Supervisory Commission
Content Article In Change 48.Article 36 amended per 7 July 2016 Letter No. Taiwan-Stock-Trading-1050012625 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Approved per 4 July 2016 Letter No. Financial-Supervisory-Securities-SITC-1050025318 of the Financial Supervisory Commission
Content Article In Change 47. Article 14 amended per 8 March 2016 Letter No. Taiwan-Stock-Trading-1050002539 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Approved per16 February 2016 Letter No. Financial-Supervisory-Securities-SITC-1040051559 of the Financial Supervisory Commission
Content Article In Change 46. Articles 56, 58~60, 62 and 64 amended per 28 January 2016 Letter No. Taiwan-Stock-Trading-1050001722 of the Taiwan Stock Exchange Corporation; for implementation from 1 February 2016
Approved for recordation per27 January 2016 Letter No. Financial-Supervisory-Securities-SITC-1040054419 of the Financial Supervisory Commission
45. Article 14 amended and Article 14-1 added per 13 November 2015 Letter No. Taiwan-Stock-Trading-1040023149 of the Taiwan Stock Exchange Corporation; for implementation from 15 January 2016
Approved per 11 November 2015 Letter No. Financial-Supervisory-Securities-Trading-1040042176 of the Financial Supervisory Commission
44. Articles 8, 12, 32, 58 and 62 amended per 23 June 2015 Letter No. Taiwan-Securities-Intermediaries-1040502321 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 12 June 2015 Letter No. Financial-Supervisory-Securities-Trading-104 0016339 of the Financial Supervisory Commission
Content Article In Change 43. Article 51 amended per 2 April 2015 Letter No. Taiwan-Stock-Trading-1040005841 of the Taiwan Stock Exchange Corporation; for implementation from 1 June 2015
Approved per31 March 2015 Letter No. Financial-Supervisory-Securities-Trading-1040007034 of the Financial Supervisory Commission
Content Article In Change 42. Article 33 amended per 16 December 2014 Letter No. Taiwan-Stock-Trading-1030025983 of the Taiwan Stock Exchange Corporation; for implementation from 30 March 2015
Per 11 December 2014 Letter No. Financial-Supervisory-Securities-Trading-1030048846 of the Financial Supervisory Commission
Content Article In Change 41. Article 52 amended per 29 August 2014 Letter No. Taiwan-Stock-Trading-1030016879 of the Taiwan Stock Exchange Corporation; for implementation from 29 September 2014
  Per 15 August 2014 Letter No. Financial-Supervisory-Securities-Firms-1030021872 of the Financial Supervisory Commission
Content Article In Change 40. Article 29 amended per 4 July 2014 Letter No. Taiwan-Stock-Trading-1030204240 of the Taiwan Stock Exchange Corporation; for immediate implementation
  Per 12 June 2014 Letter No. Financial-Supervisory-Securities-Futures-1030016524 of the Financial Supervisory Commission
Content Article In Change 39. Articles 56, 57, and 61 to 63 amended per 16 June 2014 Letter No. Taiwan-Stock-Trading-1030011363 of the Taiwan Stock Exchange Corporation; for implementation from 30 June 2014
  Per 11 June 2014 Letter No. Financial-Supervisory-Securities-Trading-1030018402 of the Financial Supervisory Commission
Content Article In Change 38. Article 49 amended per 27 November 2012 Public Announcement No. Taiwan-Stock-Clearing-1010026253 of the Taiwan Stock Exchange Corporation; for implementation from a date to be fixed by a separate public announcement depending on the status of modification to the computer system
Per 19 November 2012 Letter No. Financial-Supervisory-Securities-Trading-1010052719 of the Financial Supervisory Commission
Content Article In Change 37. Article 38 amended per 15 November 2012 Public Announcement No. Taiwan-Stock-Clearing-1010302257 of the Taiwan Stock Exchange Corporation; for immediate implementation
Per 6 November 2012 Letter No. Financial-Supervisory-Securities-Firms-1010042445 of the Financial Supervisory Commission
Content Article In Change 36. Article 43 amended and Article 49-1 added per 19 September 2012 Public Announcement No. Taiwan-Stock-Clearing-1010021011 of the Taiwan Stock Exchange Corporation; for immediate implementation
Per 13 September 2012 Letter No. Financial-Supervisory-Securities-Trading-1010039915 of the Financial Supervisory Commission
Content Article In Change 35. Article 29 amended per 18 January 2012 Public Announcement No. Taiwan-Stock-Clearing-1010001134 of the Taiwan Stock Exchange Corporation; for immediate implementation
Per 13 January 2012 Letter No. Financial-Supervisory-Securities-Trading-1010001123 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 34. Article 14 amended per 13 December 2011 Public Announcement No. Taiwan-Stock-Clearing-10000382771 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Per 5 December 2011 Letter No. Financial-Supervisory-Securities-Trading-1000056547 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 33. Articles 17 and 23 amended per 24 August 2011 Public Announcement No. Taiwan-Stock-Trading-1000027998 of the Taiwan Stock Exchange Corporation; for implementation from 3 October 2011
Per 18 August 2011 Letter No. Financial-Supervisory-Securities-Trading-1000038139 of the Financial Supervisory Commission, Executive Yuan
Per 28 April 2011 Letter No. Financial-Supervisory-Securities-Trading-1000014202 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 32. Article 33 amended per 29 April 2011 Public Announcement No. Taiwan-Stock-Clearing-1000300695 of the Taiwan Stock Exchange Corporation; for implementation from 3 May 2011
Per 31 March 2011 Letter No. Financial-Supervisory-Securities-Trading-1000009298 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 31. Articles 14, 17, 23, and 26 amended per 26 January 2011 Public Announcement No. Taiwan-Stock-Trading-1000200481 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Per 14 January 2011 Letter No. Financial-Supervisory-Securities-Trading-0990068989 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 30. Articles 33-1, 34, 47, 51, 55, 57, 59, and 62 and Appendix 1 of Article 7 amended per 12 January 2011 Public Announcement No. Taiwan-Stock-Trading-1000001085 of the Taiwan Stock Exchange Corporation; for implementation from 28 March 2011
Approved per 23 December 2010 Letter No. Financial-Supervisory-Securities-Trading-0990058167 and 10 January 2011 Letter No. Financial-Supervisory-Securities-Trading-1000000241 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 29. Articles 59 and 60 amended per 9 December 2010 Public Announcement No. Taiwan-Stock-Trading-0990037006 of the Taiwan Stock Exchange Corporation; for immediate implementation
Per 6 December 2010 Letter No. Financial-Supervisory-Securities-Trading-0990059523 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 28. Articles 33 and 39 amended per 8 June 2010 Public Announcement No. Taiwan-Stock-Clearing-0990300989 of the Taiwan Stock Exchange Corporation; for implementation from a date as fixed by a separate public announcement depending upon the status of modification to the computer system
Per 2 June 2010 Letter No. Financial-Supervisory-Securities-Firms-0990025769 of the Financial Supervisory Commission, Executive Yuan
For official implementation from 2 August 2010 per 8 July 2010 Public Announcement No. Taiwan-Stock-Clearing-0990301163 of the Taiwan Stock Exchange Corporation
Content Article In Change 27. Full text of 66 articles amended per 18 January 2010 Public Announcement No. Taiwan-Stock-Clearing-0990300072 of the Taiwan Stock Exchange Corporation; Articles 18, 20, 33, and 33-2, as regards the adoption of a new facility for the furnishing of collateral securities through real time transfer, to be implemented from 26 April 2010 to account for modifications to the computer system; and the remaining articles to be implemented immediately
15 December 2009 Letter No. Financial-Supervisory-Securities-Trading-0980055092 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 26. Article 8 amended and issued per 31 July 2009 Public Announcement No. Taiwan-Stock-Clearing-0980301389 of the Taiwan Stock Exchange Corporation; for immediate implementation
28 July 2009 Letter No. Financial-Supervisory-Securities-Investment-0980033869 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 25. Articles 50, 51, 53, 54, 55, and 55-1 to 55-4 amended, and Article 55-5 added, with the original Article 55-5 changed to Article 55-6, per 3 September 2008 Public Announcement No. Taiwan-Stock-Clearing-0970026044 of the Taiwan Stock Exchange Corporation; the present amendments are scheduled for implementation online starting from the first trading day after the Lunar New Year Holidays in 2009 (the actual implementation date is to be fixed by a separate public announcement, depending on the status of modifications to the computer system)
28 August 2008 Letter No. Financial-Supervisory-Securities-III-0970042725 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 24. Articles 7, 17, 22, and 35 through 38 amended and issued, and Articles 6-1 and 17-1 added, 16 April 2008 per Public Announcement No. Taiwan-Stock-Clearing-0970009055 of the Taiwan Stock Exchange Corporation; Articles 17 and 17-1 to be implemented from another date to be fixed by a separate public announcement depending upon the status of modification to the computer system, and the remaining articles to be implemented immediately
10 April 2008 Letter No. Financial-Supervisory-Securities-III-0970009316 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 23. Articles 58 and 62 amended and issued 8 January 2008 per Public Announcement No. Taiwan-Stock-Trading-0970000658 of the Taiwan Stock Exchange Corporation; for immediate implementation
7 January 2008 Letter No. Financial-Supervisory-Securities-IV-0960072093 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 22. Articles 56, 58, and 62 amended and issued 17 October 2007 per Public Announcement No. Taiwan-Stock-Trading-0960030462 of the Taiwan Stock Exchange Corporation; Articles 56 and 58 to be implemented immediately, while Article 62 to be implemented from 31 December 2007
11 October 2007 Letter No. Financial-Supervisory-Securities-IV-0960042335 of the Financial Supervisory Commission, Executive Yuan
21. Articles 54, 55, and 55-1 amended and issued 5 July 2007 per Public Announcement No. Taiwan-Stock-Clearing-0960300640 of the Taiwan Stock Exchange Corporation; for implementation from 1 October 2007
24 May 2007 Letter No. Financial-Supervisory-Securities-III-0960015991 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 20. Title of Chapter II and Articles 2, 5, 6, 8, 9, 13, 15, 18, 22, 26, 29, 30, 31, 33, 36, 38, 40, 43, 44, and 47 amended and issued 25 January 2007 per Public Announcement No. Taiwan-Stock-Trading-0960000708 of the Taiwan Stock Exchange Corporation; Articles 2, 5, 6, 8, 13, 15, 18, 26, 29, 30, 31, 33, 36 (excepting paragraph 2), 38, 40, 43, 44, 46, and 47 (excepting paragraph 3) to be implemented immediately, while the remaining Articles 9, 22, Article 36, paragraph 2, Article 47, paragraph 3, and the deleted provision of the original Article 6 that "A borrower shall entrust the same securities firm to handle the securities lending and borrowing transaction and the sale of the object securities" to be implemented from another date as fixed by a separated public announcement depending upon the status of modification to the computer system
8 January 2007 Letter No. Financial-Supervisory-Securities-III-0950146298 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 20. Articles 16-1, 19 and 35 announced 25 January 2007 per Public Announcement No. Taiwan-Stock-Trading-0960200402 of the Taiwan Stock Exchange Corporation; for implementation from 29 January 2007
Announced 2 October 2006 per Letter No. Financial-Supervisory-Securities-III-0950139245of the Financial Supervisory Commission, Executive Yuan and 16 October 2006 per Public Announcement No. Taiwan-Stock-Trading-0950026296 of the Taiwan Stock Exchange Corporation
Content Article In Change 19. Articles 19, 35, 39, 41, and 42 amended and issued, and Article 16-1 added, 16 October 2006 per Public Announcement No. Taiwan-Stock-Trading-0950026296 of the Taiwan Stock Exchange Corporation; the amendments to Articles 39, 41, and 42 are to be implemented immediately, and those to Articles 16-1, 19, and 35 to be implemented from another date to be set in a separate public announcement of the TWSE in tandem with alteration of its computer system
2 October 2006 Letter No. Financial-Supervisory-Securities-III-0950139245 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 18. Article 59 amended and promulgated 14 July 2006 per Public Announcement No. Taiwan-Stock-Trading-0950016945 of the Taiwan Stock Exchange Corporation; for implementation from 10 July 2006
10 July 2006 per Letter No. Financial-Supervisory-Securities-III-0950127785 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 17. Article 59 amended and promulgated 10 April 2006 per Public Announcement No. Taiwan-Stock-Trading-0950007001 of the Taiwan Stock Exchange Corporation; for immediate implementation
3 April 2006 per Letter No. Financial-Supervisory-Securities-IV-0950104298 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 16. Articles 51, 54, and 55 amended and promulgated and Articles 55-1 to 55-5 added 3 March 2006 per Public Announcement No. Taiwan-Stock-Clearing-0950450024 of the Taiwan Stock Exchange Corporation; for implementation from 3 April 2006
Processed per 12 October 2005 per Letter No. Financial-Supervisory-Securities-III-0940132281 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 15. Articles 13 to 16, 18 to 20, 22, 27, 36, and 39, and the name of Chapter 2 amended and promulgated 31 August 2005 per Public Announcement No. Taiwan-Stock-Clearing-0940028594 of the Taiwan Stock Exchange Corporation; Articles 22, 27, 36, and 39 to be implemented immediately; Articles 13 to 16 and 18 to 20 to be implemented as separately publicly announced in tandem with changes to the Corporation’s computer operations system
Approved for recordation 28 September 2005 per Letter No. Financial-Supervisory-Securities-III-0940136565 of the Financial Supervisory Commission, Executive Yuan
Implementation to begin from 23 January 2006 per 20 January 2006 Public Announcement No. Taiwan-Stock-Clearing-0950450011 of the Taiwan Stock Exchange Corporation
Content Article In Change 14. Article 23 amended and promulgated 31 August 2005 per Public Announcement No. Taiwan-Stock-Clearing-0940024107 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved for recordation 17 August 2005 per Letter No. Financial-Supervisory-Securities-III-0940127070 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 13. Article 5 amended and promulgated 22 August 2005 per Public Announcement No. Taiwan-Stock-Clearing-0940450169 of the Taiwan Stock Exchange Corporation; for implementation from the date of announcement
Approved for recordation 1 July 2005 per Letter No. Financial-Supervisory-Securities-IV-0940122290 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 12. Articles 2, 5, 6, 8, 9, 18, and 22 amended and promulgated 13 May 2005 per Public Announcement No. Taiwan-Stock-Clearing-0940012758 of the Taiwan Stock Exchange Corporation; for implementation from 27 June 2005
13 May 2005 per Letter No. Financial-Supervisory-Securities-III-0940002044 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 11. Article 18 and Attachment 4 of Article 27 amended and promulgated 31 December 2004 per Public Announcement No. Taiwan-Stock-Clearing-0930033532 of the Taiwan Stock Exchange Corporation
Approved for recordation 17 December 2004 per Letter No. Financial-Supervisory-Securities-III-0930006081 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 10. Articles 9, 18, 19, 25, 27, 29, 31, 32, 33, 35, and 44 amended and promulgated 19 November 2004 per Public Announcement No. Taiwan-Stock-Clearing-0930028530 of the Taiwan Stock Exchange Corporation
Approved for reference 2 November 2004 per Letter No. Financial-Supervisory-Securities-III-0930005294 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 9. Articles 59, 60 and attachments amended and promulgated 19 September 2003 per Public Announcement No. Taiwan-Stock-Trading-0920024114 of the Taiwan Stock Exchange Corporation
Approved 17 September 2003 per Letter No. Taiwan-Finance-Securities-III-0920141216 of the Securities and Futures Commission, Ministry of Finance
8. Approved 20 June 2003 per Letter No. Taiwan-Finance-Securities-III-0920125486 of the Securities and Futures Commission, Ministry of Finance
Attachments 1-5 amended and promulgated 24 June 2003 per Letter No. Taiwan-Stock-Clearing-0920013926 of the Taiwan Stock Exchange Corporation
Content Article In Change 7. Approved by Securities and Futures Commission, Ministry of Finance, per its letter dated May 12, 2003, Ref. No. Tai-Tsai-Cheng-III-0920111006.
Promulgated on May 30, 2003 by public announcement of Taiwan Stock Exchange Corporation, Ref. No. Tai-Cheng-Chieh-0920450190, amending the provisions of Article 109 and adding the provisions of Article 82-2 to come into force from June 30, 2003.
6. Article 16 amended per 5 July 2002 Public Announcement No. (91) Taiwan-Stock-Secretariat-016030 of the Taiwan Stock Exchange Corporation
Approved for reference per 2 July 2002 Letter No. Taiwan-Finance-Securities-III-0910136744 of the Securities and Futures Commission, Ministry of Finance
Content Article In Change 5. Amendment to Article 2 promulgated on 8 January 2001 per Letter No. (90) Taiwan-Securities-Clearing-037578 of the Taiwan Stock Exchange Corporation; Effective from 1 January 2001.
4. Amendments to Paragraph 2 Article 8 and Article 11 promulgated on 20 November 2000 per Letter No. (89) Taiwan-Securities-Settlement-033650 of the Taiwan Stock Exchange Corporation; Effective from 1 January 2001.
3. Amendment to Article 3 promulgated on 31 August 2000 per Letter No. (89) Taiwan-Securities-Clearing-450104 of the Taiwan Stock Exchange Corporation; Effective from 4 September 2000.
2. Amendment to Articles 1-8 promulgated on 15 June 1999 per Letter No. (88) Taiwan-Securities-Clearing-18230 of the Taiwan Stock Exchange Corporation.
1.