Regulations Governing the Operation of Securities Introducing Broker Business by Futures Commission Merchants Article 11
When any of the following circumstances applies with respect to a securities introducing broker, it shall report the matter to the competent authority:1.Litigation has resulted due to securities introducing broker business operated or engaged in by the securities introducing broker or any of its directors, supervisors, or employees.2.Any of the conditions referred to in Article 53 of the SEA applies with respect to a director, supervisor, or managerial officer.3.A director, supervisor, or employee has violated the SEA or an order issued by the competent authority pursuant to the SEA.4.Any other matter to be reported as required by the competent authority.Matters to be reported pursuant to the preceding paragraph shall be reported to the competent authority by the securities introducing broker through the TWSE within five days from the date of the occurrence of the matter or the date on which it learns of the matter, and notification shall at the same time be provided to the mandating securities firm.
中文原文 期貨商經營證券交易輔助業務管理規則第11條
證券交易輔助人有下列情事之一者，應向主管機關申報：
一、證券交易輔助人或其董事、監察人及受僱人因經營或從事證券交易輔助業務，發生訴訟事件。
二、董事、監察人及經理人有本法第五十三條所定之情事。
三、董事、監察人及受僱人，有違反本法或主管機關依照本法所發布之命令之行為。
四、其他經主管機關規定應申報事項。
前項所列應申報之事項，證券交易輔助人應於知悉或事實發生之日起五日內送由證券交易所轉送主管機關，並應同時通知委任證券商。
一、證券交易輔助人或其董事、監察人及受僱人因經營或從事證券交易輔助業務，發生訴訟事件。
二、董事、監察人及經理人有本法第五十三條所定之情事。
三、董事、監察人及受僱人，有違反本法或主管機關依照本法所發布之命令之行為。
四、其他經主管機關規定應申報事項。
前項所列應申報之事項，證券交易輔助人應於知悉或事實發生之日起五日內送由證券交易所轉送主管機關，並應同時通知委任證券商。