Regulations Governing Securities Firms Article 4
In case any of the following events occurs, a securities firm shall report to the FSC:1. Where the business operation is commenced, suspended, resumed or terminated.2. Where, through operating or engaging in securities business, a securities firm, or any of its directors, supervisors, or employees becomes involved in litigation or arbitration, or is subject to compulsory execution as an obligor, or a securities firm is a bankrupt or has a negotiable instrument dishonored or is refused services by a bank.3. Where any director, supervisor, or managerial officer has any of the conditions referred to in Article 53 of the Act.4. Where any director, supervisor, or employee has violated an order issued by the FSC in accordance with the Act.5. Where there is any change in the shareholding of any director, supervisor, manager or shareholder holding more than 10 percent of the shares of the company.6. Where there is any other matter required by the FSC to be reported.For the matters in subparagraph 1 in the preceding paragraph, the securities firm shall report in advance. For the matters in subparagraphs 2 through 4, the securities firm shall report within 5 days from the day on which it becomes aware thereof or on which the matters occur. For matters in subparagraph 5, the securities firm shall report by the 15th day of the following month.Where a securities firm has entered into a contract for using the centralized securities market with the TWSE, matters to be reported as referred to in paragraph 1 above shall be submitted to the TWSE for transmittal to the FSC. Where a securities firm only entered into a contract for trading securities on the TPEx, the submission shall be made to the FSC through the TPEx. Where no contract has been entered into, the submission shall be made to the FSC through the Securities Association.The term "business day," as used in these Regulations, means a trading day on the domestic securities markets.
中文原文 證券商管理規則第4條
證券商有下列情事之一者，應向本會申報：
一、開業、停業、復業或終止營業。
二、證券商或其董事、監察人及受僱人因經營或從事證券業務，發生訴訟、仲裁或為強制執行之債務人，或證券商為破產人、有銀行退票或拒絕往來之情事。
三、董事、監察人及經理人有本法第五十三條所定之情事。
四、董事、監察人及受僱人，有違反本法或本會依照本法所發布之命令之行為。
五、董事、監察人、經理人及持有公司股份超過百分之十之股東，持有股份變動。
六、其他經本會規定應申報之事項。
前項第一款之事項，證券商應事先申報；第二款至第四款之事項，證券商應於知悉或事實發生之日起五個營業日內申報；第五款之事項，證券商應於次月十五日以前彙總申報。
證券商與證券交易所訂立有價證券集中交易市場使用契約者，第一項所列應申報之事項，應送由證券交易所轉送本會；僅與證券櫃檯買賣中心訂立證券商經營櫃檯買賣有價證券契約者，應送由證券櫃檯買賣中心轉送本會；均未訂立者，應送由證券商同業公會轉送本會。
本規則所稱營業日係指國內證券市場交易日。
一、開業、停業、復業或終止營業。
二、證券商或其董事、監察人及受僱人因經營或從事證券業務，發生訴訟、仲裁或為強制執行之債務人，或證券商為破產人、有銀行退票或拒絕往來之情事。
三、董事、監察人及經理人有本法第五十三條所定之情事。
四、董事、監察人及受僱人，有違反本法或本會依照本法所發布之命令之行為。
五、董事、監察人、經理人及持有公司股份超過百分之十之股東，持有股份變動。
六、其他經本會規定應申報之事項。
前項第一款之事項，證券商應事先申報；第二款至第四款之事項，證券商應於知悉或事實發生之日起五個營業日內申報；第五款之事項，證券商應於次月十五日以前彙總申報。
證券商與證券交易所訂立有價證券集中交易市場使用契約者，第一項所列應申報之事項，應送由證券交易所轉送本會；僅與證券櫃檯買賣中心訂立證券商經營櫃檯買賣有價證券契約者，應送由證券櫃檯買賣中心轉送本會；均未訂立者，應送由證券商同業公會轉送本會。
本規則所稱營業日係指國內證券市場交易日。