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Article NO. Content


Operating Rules for Securities Business Money Lending by Securities Firms  CH

Amended Date: 2022.01.07 (Articles 20 amended,English version coming soon)
Current English version amended on 2021.04.01 
Categories: Securities Exchange Market > Borrowing of Money
10     A securities firm conducting securities business money lending shall set up a separate account for each customer, and make itemized entries for all relevant transaction matters:
  1. Details of loans.
  2. Financing collateral.
  3. Collateral calls and disposal of collateral.
    The securities firm shall prepare a reconciliation statement each month based on the account entry records of the preceding paragraph and deliver it to the customer, provided that this requirement shall not apply when there is no recorded transaction for the given month, and the customer has not requested such statement in writing.