Regulations Governing Borrowing or Lending Money in Connection with Securities Business by Securities Firms Article 16

When a securities firm conducts securities business money lending, the combined total of money lending financing limits that it extends to each customer shall be regulated by the securities firm. The securities firm shall adopt its own internal procedures for credit extension operations and risk management, in order to appropriately assess customer credit limits and manage credit extension risks.The internal procedures for credit extension operations and risk management specified in the preceding paragraph shall include credit limit control and management for related accounts. The matters for compliance shall be drafted by the TWSE in joint consultation with the TPEx, and submitted for the competent authority's approval.