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Amendments

Title：

Operating Rules for Securities Business Money Lending by Securities Firms  CH

Amended Date： 2024.09.05 (Articles 2, 7, 12, 13, 14-1, 14-2, 14-3, 14-4, 15, 16, 19-1, 21-1, 23, 25, 27, 34, 36 amended,English version coming soon)
Current English version amended on 2023.12.28 
Categories： Securities Exchange Market > Borrowing of Money
Article Content Chapter Content Search Article No. Search Legal Basis Amended Article Legislative History Chinese

Title： Operating Rules for Securities Business Money Lending by Securities Firms(2019.09.06)
Date：
Article 30     A securities firm conducting securities business money lending 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 percent 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.
    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.