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Article NO. Content

Title:

Operating Rules for Securities Firms Handling Non-Restricted Purpose Loan  CH

Amended Date: 2019.09.06 
Categories: Securities Exchange Market > Borrowing of Money
Article 28     A securities firm conducting non-restricted purpose loan business may not engage in transactions with any party having any of the following relationships with it:
  1. A director, supervisor, representative of a juristic-person director or juristic-person supervisor, employee, or shareholder holding more than 10% of the total shares, of the securities firm.
  2. A spouse of a director or supervisor, or of a representative of a juristic-person director or juristic-person supervisor, of the securities firm.
  3. 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.