Regulations Governing Securities Investment Consulting Enterprises (Originally Adopted 2004.10.30) Article 5
A SICE shall report any of the following to the FSC via the SITCA within 5 business days after its occurrence:1. A change of director, supervisor, or manager;2. A change in the shareholdings of a director, supervisor, or any shareholder holding five percent or more of the total outstanding shares of the enterprise;3. The occurrence of litigation, non-litigation, or mediation by the SITCA, arising out of business operations or the performance of duties by an associated person;4. Other matters to be reported pursuant to SFC regulations.
中文原文 證券投資顧問事業管理規則（931030訂定）第5條
證券投資顧問事業有下列情事之一者，應於事實發生之日起五個營業日內函送同業公會彙報本會：
一、變更董事、監察人或經理人。
二、董事、監察人或持有已發行股份總數百分之五以上之股東持股之變動。
三、因經營業務或業務人員執行業務，發生訴訟、非訟事件或經同業公會調處。
四、其他經本會規定應申報之事項。
一、變更董事、監察人或經理人。
二、董事、監察人或持有已發行股份總數百分之五以上之股東持股之變動。
三、因經營業務或業務人員執行業務，發生訴訟、非訟事件或經同業公會調處。
四、其他經本會規定應申報之事項。