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Article NO. Content

Title:

Regulations Governing Securities Borrowing and Lending by Securities Firms  CH

Amended Date: 2015.11.02 
Article 5     An officer or associated person of a securities firm who is charged with the conduct of securities borrowing and lending business shall have attended training, and passed the test, held by an institution recognized by the competent authority.
    An associated person conducting securities borrowing and lending business under the preceding paragraph may concurrently provide services relating to margin purchases and short sales of securities and securities business money lending.