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Article NO. Content

Title:

Operating Rules for Securities Business Money Lending by Securities Firms  CH

Amended Date: 2024.09.05 (Articles 2, 7, 12, 13, 14-1, 14-2, 14-3, 14-4, 15, 16, 19-1, 21-1, 23, 25, 27, 34, 36 amended,English version coming soon)
Current English version amended on 2023.07.06 
Categories: Securities Exchange Market > Borrowing of Money
21     A securities firm shall keep detailed and accurate records and receipt/payment vouchers for securities business money lending, and shall compile on a daily basis the following statements:
  1. Daily operations report for loan transactions.
  2. A summary statement and itemized statement of additions to, repayments of, and balances of, loan accounts.
  3. Itemized statement of receipt/payment, disposition, and utilization of collateral for loan accounts.
  4. Summary statement of collateral shortfalls and covering thereof.
  5. Itemized statement of additional collateral securities or other commodities or foreign currencies.

Interpretation: