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Article NO. Content

Title:

Operating Rules for Securities Lending by Securities Firms  CH

Amended Date: 2019.10.29 (Articles 8 amended,English version coming soon)
Current English version amended on 2018.12.24 
Categories: Securities Exchange Market > Borrowing of Securities
Article 36     A securities firm may not enter into a securities lending transaction with any party having any of the following relationships with it:
  1. A director, supervisor, representative of a juristic-person director or supervisor, employee, or shareholder holding more than ten percent of the shares, of the securities firm.
  2. A juristic-person shareholder of the securities firm that, through a representative, is elected as a director or supervisor of the securities firm under Article 27, paragraph 2, of the Company Act.
  3. A spouse of a director or supervisor, or of a representative of a juristic-person director or supervisor, of the securities firm.
  4. A minor child of a person of a status specified in subparagraph 1.
    The securities firm shall incorporate the provisions of the preceding paragraph into its internal control system.