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Article NO. Content


Directions for the Internal Control of Securities Borrowing and Lending Transactions by Securities Firms  CH

Amended Date: 2006.03.21 
Categories: Securities Exchange Market > Borrowing of Securities
10     The internal audit unit shall establish internal auditing directions pursuant to the above Directions, conduct monthly as well as randomized internal audits to ensure that all control directions are being followed as required, and keep a record of the internal audits.