Regulations Governing the Securities Investor and Futures Trader Protection Institution Article 5

In any of the following events, the protection institution shall take immediate measures appropriate to the circumstances, and report by letter to the FSC for recordation:1. Utilization of the protection fund for payment in accordance with Article 21 of the Act.2. The conclusion of any case in which the protection fund has been utilized for payment in accordance with Article 21 of the Act.3. Receipt of assigned assets over NT$50 million resulting from the assumption of rights of a securities investor or futures trader against a securities firm or futures commission merchant in breach of contract under Article 21, paragraph 3 of the Act.4. Institution of group arbitration or a class action suit.5. Any legal action taken pursuant to Article 10-1 or 10-2 of the Act.6. Minutes of board of directors meetings.7. Any litigation, non-litigation matter, administrative disposition, administrative dispute, commercial arbitration, or settlement having a material effect on finances or operations.8. The status of execution of any matters undertaken by the protection institution on behalf of the FSC.9. Any other matters to be reported by letter for recordation pursuant to FSC regulations.Under circumstances in subparagraph 1 of the preceding paragraph, the protection institution shall send a letter of report to the FSC within two days from passage of its resolution; under circumstances in subparagraphs 2 through 9, it shall send a letter of report to the FSC within five days from the date it passes a resolution, learns of the occurrence of the given matter, or completes its handling of the matter.