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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
7     Securities borrowing and lending traders in the middle offices of a securities firm (internal control, risk management, etc.) shall not concurrently hold positions in the back offices (accounting and clearing, central custody), and vice versa.