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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
5     A securities firm acting as lender in a securities lending negotiation shall, in addition to carefully assessing the various risks that the borrower may cause, include the trading limit, types of collateral, calculation of the mandatory coverage ratio, minimum collateral ratio and collateral maintenance ratio, provision of additional collateral, disposition of collateral in the event of default, mark-to-market operations, and other operational regulations in the lender's internal rules for securities borrowing and lending.