Regulations Governing Permission and Administration of Securities and Futures Business Dealings and Investment Between the Taiwan Area and the Mainland Area Article 22
When any of the following circumstances apply to a Mainland-area securities or futures institution in which a Taiwan-area securities firm or third-regions subsidiary has made equity investment, the Taiwan-area securities firm shall report the reasons to the competent authority along with relevant documentation:1. A change in principal areas of business or operating policies.2. A change in the original shareholding ratio of the Taiwan-area securities firm or its third-region subsidiary.3. Any material re-investment.4. Dissolution or suspension of operations.5. A change in the institution's name.6. A merger with, or assignment of all or a major part of assets or business to or from, another financial institution.7. A reorganization, liquidation, or bankruptcy.8. The occurrence or foreseeable occurrence of material losses.9. An instance of material violation of the law or the voidance or revocation of the business permission by the Mainland Area's competent authority for securities and futures.10. Other matters of a material nature.The circumstances under subparagraphs 1 to 7 of the preceding paragraph shall be reported to the competent authority in advance. The circumstances under subparagraphs 8 to 10 shall be reported within 3 business days from the day on which the Taiwan-area securities firm becomes aware of the circumstance or on which the circumstance occurs.
中文原文 臺灣地區與大陸地區證券期貨業務往來及投資許可管理辦法第22條
臺灣地區證券商或其第三地區子公司參股投資之大陸地區證券、期貨機構，有下列情形之一時，臺灣地區證券商應檢具事由及相關資料向主管機關申報：
一、營業項目或重大營運政策變更。
二、臺灣地區證券商或其第三地區子公司原持有股份比率變動。
三、重大之轉投資。
四、解散或停止營業。
五、變更機構名稱。
六、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。
七、發生重整、清算或破產之情事。
八、已發生或可預見之重大虧損案件。
九、重大違規案件或大陸地區證券、期貨主管機關撤銷或廢止其營業許可。
十、其他重大事件。
前項第一款至第七款規定情形，應於事前向主管機關申報；第八款至第十款規定情形，應於知悉或事實發生之日起三個營業日內申報。
一、營業項目或重大營運政策變更。
二、臺灣地區證券商或其第三地區子公司原持有股份比率變動。
三、重大之轉投資。
四、解散或停止營業。
五、變更機構名稱。
六、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。
七、發生重整、清算或破產之情事。
八、已發生或可預見之重大虧損案件。
九、重大違規案件或大陸地區證券、期貨主管機關撤銷或廢止其營業許可。
十、其他重大事件。
前項第一款至第七款規定情形，應於事前向主管機關申報；第八款至第十款規定情形，應於知悉或事實發生之日起三個營業日內申報。