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A securities firm conducting securities business money lending may not engage in transactions with any party having any of the following relationships with it:
- A director, supervisor, representative of a juristic-person director or juristic-person supervisor, employee, or shareholder holding more than 10 percent of the total shares, of the securities firm.
- A spouse of a director or supervisor, or of a representative of a juristic-person director or juristic-person supervisor, of the securities firm.
- A minor child of a person of a status specified in subparagraph 1 herein.
The conditions such as financing interest rates and processing fees imposed by a securities firm on related parties and affiliates other than those listed in the preceding paragraph may not be more favorable than those on other customers.
A securities firm shall incorporate the provisions of the preceding two paragraphs into its internal control system.
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