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Article NO. Content

Title:

Regulations Governing Borrowing or Lending Money in Connection with Securities Business by Securities Firms  CH

Amended Date: 2024.08.19 
Article 15 A securities firm that conducts securities business money lending may not engage in transactions with the related parties listed below:<br/>1. A director, supervisor, or representative of a juristic-person director or juristic-person supervisor, of the securities firm, or any of its employees or a shareholder holding more than 10 percent of its total shares.<br/>2. A spouse of a director, supervisor, or representative of a juristic-person director or juristic-person supervisor, of the securities firm.<br/>3. A minor child of a person of an identity specified in subparagraph 1 herein.<br/>The terms and conditions, such as financing interest rates and processing fees, that a securities firm offers to a related party or affiliated enterprise other than those specified in the preceding paragraph may not more favorable than those offered to other customers.