Regulations Governing Securities Investment Consulting Enterprises (Originally Adopted 2004.10.30) Article 3
A SICE shall report to the FSC for prior approval of any of the following actions:1. Changing the company name.2. Changing the amount of capitalization;3. Changing its lines of business.4. Changing the business address of the enterprise or a branch unit;5. Assigning or taking assignment of all or a major portion of the SICE's or another enterprise's business or assets.6. Dissolution or merger;7. Suspension, resumption, or cessation of business.8. Other matters requiring prior approval pursuant to FSC regulations.A SICE that applies to the FSC for a suspension of business pursuant to subparagraph 7 of the preceding paragraph shall be limited to one such application only, and the period of suspension may not be in excess of 1 year from the date of approval by the FSC. If, at the end of that period, no application has been made for resumption of business, or if such an application has not been approved by the FSC, the FSC may revoke its business license.If a SICE suspends business at its own discretion for a period of 3 consecutive months or more without having applied to the FSC for suspension of business in accordance with paragraph 1, subparagraph 7, the FSC may revoke its business license.
中文原文 證券投資顧問事業管理規則（931030訂定）第3條
證券投資顧問事業有下列情事之一者，應先報請本會核准：
一、變更公司名稱。
二、變更資本額。
三、變更營業項目。
四、變更公司或分支機構營業處所。
五、受讓或讓與全部或主要部分營業或財產。
六、解散或合併。
七、停業、復業及歇業。
八、其他經本會規定應經核准之事項。
證券投資顧問事業依前項第七款向本會申請停業以一次為限，且停業期間自本會核准日起不得超過一年，如屆期未申請復業或申請復業未獲本會核准，本會得廢止其營業許可。
證券投資顧問事業未依第一項第七款規定向本會申請停業，而自行停業連續三個月以上者，本會得廢止其營業許可。
一、變更公司名稱。
二、變更資本額。
三、變更營業項目。
四、變更公司或分支機構營業處所。
五、受讓或讓與全部或主要部分營業或財產。
六、解散或合併。
七、停業、復業及歇業。
八、其他經本會規定應經核准之事項。
證券投資顧問事業依前項第七款向本會申請停業以一次為限，且停業期間自本會核准日起不得超過一年，如屆期未申請復業或申請復業未獲本會核准，本會得廢止其營業許可。
證券投資顧問事業未依第一項第七款規定向本會申請停業，而自行停業連續三個月以上者，本會得廢止其營業許可。