• Font Size：
  • S
  • M
  • L

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 Content Content Search Article No. Search Legal Basis Subordinate Legislation Amended Article Legislative History Chinese
Article 4 A securities firm that conducts securities business money lending shall adopt an effective internal control system.<br/>The internal control system of the preceding paragraph shall adopt "know your customer" assessment and credit investigation procedures, and operating procedures, division of powers and duties, financing limit controls, and account management for the conduct of securities business money lending, as well as related risk management mechanisms.