Taiwan Stock Exchange - Rules & Regulations Directory
Operating Rules for Securities Business Money Lending by Securities Firms
2021.04.01 (Articles 19 amended,English version coming soon)
Current English version amended on 2020.12.31
Securities Exchange Market > Borrowing of Money
Article No. Search
Operating Rules for Securities Business Money Lending by Securities Firms(2019.09.06)
A securities firm conducting securities business money lending may not engage in transactions with any party having any of the following relationships with it:
A director, supervisor, representative of a juristic-person director or juristic-person supervisor, employee, or shareholder holding more than 10 percent of the total shares, of the securities firm.
A spouse of a director or supervisor, or of a representative of a juristic-person director or juristic-person supervisor, of the securities firm.
A minor child of a person of a status specified in subparagraph 1 herein.
The conditions such as financing interest rates and processing fees imposed by a securities firm on related parties and affiliates other than those listed in the preceding paragraph may not be more favorable than those on other customers.
A securities firm shall incorporate the provisions of the preceding two paragraphs into its internal control system.
Resolution：1024 x 768
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English version of regulations are translated by Baker McKenzie Taipei Office.