Taiwan Stock Exchange - Rules & Regulations Directory

Article NO. Content


Operating Rules for Securities Business Money Lending by Securities Firms 

Amended Date: 2022.01.07 (Articles 20 amended,English version coming soon)
Current English version amended on 2021.04.01 
Categories: Securities Exchange Market > Borrowing of Money
    A securities firm shall keep detailed and accurate records and receipt/payment vouchers for securities business money lending, and shall compile on a daily basis the following statements:
  1. Daily operations report for loan transactions.
  2. A summary statement and itemized statement of additions to, repayments of, and balances of, loan accounts.
  3. Itemized statement of receipt/payment, disposition, and utilization of collateral for loan accounts.
  4. Summary statement of collateral shortfalls and covering thereof.
  5. Itemized statement of additional collateral securities or other commodities or foreign currencies.


Data Source:Taiwan Stock Exchange - Rules & Regulations Directory