Taiwan Stock Exchange - Rules & Regulations Directory

Article NO. Content


Operating Rules for Securities Firms Handling Non-Restricted Purpose Loan 

Amended Date: 2021.04.01 (Articles 19 amended,English version coming soon)
Current English version amended on 2019.09.06 
Categories: Securities Exchange Market > Borrowing of Money
Article 29
    For non-restricted loan conducted by a securities firm, the securities firm shall adopt an internal control system regarding circumstances such as over-concentration of the outstanding balance of financing to clients in a single party, a single group of related parties, or a single security, and shall adopt risk control mechanisms.
Data Source:Taiwan Stock Exchange - Rules & Regulations Directory