Regulations Governing Futures Commission Merchants Article 56-5
When any of the following circumstances occurs in connection with any investment after approval by the FSC, the futures commission merchant shall report the reasons to the FSC along with relevant documentation:1. Change in business items or material operating policies.2. Change in the original shareholding ratio of the futures commission merchant or its overseas subsidiary.3. Dissolution or suspension of operations.4. Change in the institution's name.5. Merger or consolidation with another financial institution, or assignment to or receipt of assignment from another of all or a major part of assets or operations.6. Occurrence of reorganization, liquidation, or bankruptcy.7. Occurrence or foreseeable occurrence of any instance of material loss.8. Material violation of law or regulation or the voidance or revocation of the business permit by the overseas competent authority.9. Any other material matter.Unless otherwise provided by the FSC, the futures commission merchant shall report in advance regarding any circumstance under subparagraphs 1 to 6 of the preceding paragraph. For any circumstance under subparagraphs 7 to 9 of the preceding paragraph, the futures commission merchant shall report within 3 business days from the day on which it becomes aware of the circumstance or on which the circumstance occurs.After a futures commission merchant receives approval for investment in a foreign enterprise, any evidentiary documents it receives in connection with the outward remittance of funds, or with registration or amendment registration for the foreign investee enterprise, shall be reported within 5 days of their receipt to the FSC for recordation.
中文原文 期貨商管理規則第56-5條
期貨商經本會核准之投資事項有下列情事之一者，應檢具事由及相關資料向本會申報：
一、營業項目或重大營運政策變更。
二、期貨商或其海外子公司原持有股份比率變動。
三、解散或停止營業。
四、變更機構名稱。
五、與其他金融機構合併、讓與或受讓全部或重要部分之資產或營業。
六、發生重整、清算或破產之情事。
七、已發生或可預見之重大虧損案件。
八、重大違規案件或海外地區主管機關撤銷或廢止其營業許可。
九、其他重大事件。
前項第一款至第六款之事項，除本會另有規定外，期貨商應事先申報；前項第七款至第九款之事項，期貨商應於知悉或事實發生之日起三個營業日內申報。
期貨商經核准投資外國事業後，對於資金之匯出、被投資外國事業之登記或變更登記事項之證明文件，應於取得證明文件後五日內申報本會備查。
一、營業項目或重大營運政策變更。
二、期貨商或其海外子公司原持有股份比率變動。
三、解散或停止營業。
四、變更機構名稱。
五、與其他金融機構合併、讓與或受讓全部或重要部分之資產或營業。
六、發生重整、清算或破產之情事。
七、已發生或可預見之重大虧損案件。
八、重大違規案件或海外地區主管機關撤銷或廢止其營業許可。
九、其他重大事件。
前項第一款至第六款之事項，除本會另有規定外，期貨商應事先申報；前項第七款至第九款之事項，期貨商應於知悉或事實發生之日起三個營業日內申報。
期貨商經核准投資外國事業後，對於資金之匯出、被投資外國事業之登記或變更登記事項之證明文件，應於取得證明文件後五日內申報本會備查。