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Article NO. Content

Title:

Operating Rules for Securities Business Money Lending by Securities Firms  CH

Amended Date: 2020.12.31 (Articles 16, 17, 18, 20, 21, 22, 23, 25, 27 amended,English version coming soon)
Current English version amended on 2019.09.06 
Categories: Securities Exchange Market > Borrowing of Money
Article 4     A securities firm conducting securities business money lending shall adopt an effective internal control system.
    The internal control system of the preceding paragraph shall adopt "know your customer" assessment and credit investigation procedures, securities business money lending operating procedures, segregation of authority and duties, financing limit controls, and account management matters, and adopt relevant risk management mechanisms.