Regulations Governing the Administration of Credit Rating Agencies Article 13
A credit rating agency shall report any of the following circumstances to the FSC for recordation within ten (10) days after its occurrence:1.Any resolution made by a shareholders meeting or board of directors meeting.2.A change in shareholding of any shareholders holding more than ten (10) percent of the total outstanding shares.3.A change of directors, supervisor(s), managerial officers, or associated persons;4.A change of its principal business place.5.A reorganization, liquidation, bankruptcy, or a major lawsuit.6.Other items for which the FSC requires reporting.Where an internationally recognized credit rating agency receives approval to establish a branch office in the Republic of China pursuant to the provisions of Article 5, it may be exempted from subparagraphs 1 and 2 of the preceding paragraph, and from the provisions of subparagraph 3 that require reporting a change of directors or supervisor(s). Where any of the following events occur with respect to a branch office's head office, the branch office shall of its own accord inform the FSC of that fact within ten (10) days, presenting a description of the facts and other related information:1.The company is dissolved or suspends its business activities.2.A reorganization, liquidation, or bankruptcy occurs.3.A major violation of law occurs, or the competent authority in the head office's country revokes its business permission.4.A merger takes place, the company transfers all or a significant portion of its assets or business, or receives the transfer of such items.5.A major lawsuit occurs.6.A major change in operating policy occurs.7.The governing laws and regulations in the head office's home country change significantly.8.Other major events occur that may affect the company's ability to continue business operations.Where any of the personnel changes listed in subparagraph 3 of paragraph 1 occurs, the company employing such personnel cannot be exempted from responsibility for their actions until it has properly carried out procedures for change of personnel.
中文原文 信用評等事業管理規則第13條
信用評等事業有下列情形之一者，應於十日內向本會申報：
一、股東會或董事會之決議。
二、持有公司股份超過股份總額百分之十之股東股權異動。
三、董事、監察人及經理人及業務人員之異動。
四、變更主要營業處所。
五、發生重整、清算、破產或重大訴訟案件等情事。
六、其他經本會規定應申報之事項。
國際知名信用評等機構依第五條規定核准在中華民國境內設立分支機構者，得不適用前項第一款與第二款，及第三款有關董事、監察人異動申報規定；其本公司有下列情事之一者，該分支機構應主動檢具事由及資料於十日內向本會申報：
一、解散或停止營業。
二、發生重整、清算或破產之情事。
三、重大違法案件或為當地國主管機關撤銷營業許可。
四、合併、讓與或受讓全部或重要部分資產或營業。
五、發生重大訴訟案件。
六、重大營運政策之改變。
七、當地國管理法規有重大變動。
八、其他足以影響公司繼續營運之重大情事。
第一項第三款人員之異動，所屬信用評等機構在辦妥異動之申報前，對相關人員之行為仍不能免責。
一、股東會或董事會之決議。
二、持有公司股份超過股份總額百分之十之股東股權異動。
三、董事、監察人及經理人及業務人員之異動。
四、變更主要營業處所。
五、發生重整、清算、破產或重大訴訟案件等情事。
六、其他經本會規定應申報之事項。
國際知名信用評等機構依第五條規定核准在中華民國境內設立分支機構者，得不適用前項第一款與第二款，及第三款有關董事、監察人異動申報規定；其本公司有下列情事之一者，該分支機構應主動檢具事由及資料於十日內向本會申報：
一、解散或停止營業。
二、發生重整、清算或破產之情事。
三、重大違法案件或為當地國主管機關撤銷營業許可。
四、合併、讓與或受讓全部或重要部分資產或營業。
五、發生重大訴訟案件。
六、重大營運政策之改變。
七、當地國管理法規有重大變動。
八、其他足以影響公司繼續營運之重大情事。
第一項第三款人員之異動，所屬信用評等機構在辦妥異動之申報前，對相關人員之行為仍不能免責。