Regulations Governing Securities Firms Article 53
When any of the following circumstances occurs in connection with any investment by a securities firm as approved by the FSC, the securities firm shall report the reasons to the FSC along with relevant documentation:1. Change in business items or material operating policies.2. Change in the original shareholding ratio of the securities firm or its overseas subsidiary.3. Dissolution or suspension of operations.4. Change in the institution's name.5. Merger with another financial institution, or assignment to or receipt of assignment from another of all or a major part of assets or operations.6. Occurrence of reorganization, liquidation, or bankruptcy.7. Occurrence or foreseeable occurrence of any instance of material loss.8. Material violation of law or regulation or the voidance or revocation of the business permit by the overseas competent authority.9. Any other material matter.For any circumstance under subparagraphs 1 to 6 of the preceding paragraph, unless otherwise provided by the FSC, the securities firm shall report in advance. For any circumstance under subparagraphs 7 to 9 of the preceding paragraph, the securities firm shall report within 3 business days from the day on which it becomes aware of the circumstance or on which the circumstance occurs.
中文原文 證券商管理規則第53條
證券商經本會核准之投資事項有下列情事之一者，應檢具事由及相關資料向本會申報：
一、營業項目或重大營運政策變更。
二、證券商或其海外子公司原持有股份比率變動。
三、解散或停止營業。
四、變更機構名稱。
五、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。
六、發生重整、清算或破產之情事。
七、已發生或可預見之重大虧損案件。
八、重大違規案件或海外地區主管機關撤銷或廢止其營業許可。
九、其他重大事件。
前項第一款至第六款之事項，除本會另有規定外，證券商應於事前申報；前項第七款至第九款之事項，證券商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、證券商或其海外子公司原持有股份比率變動。
三、解散或停止營業。
四、變更機構名稱。
五、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。
六、發生重整、清算或破產之情事。
七、已發生或可預見之重大虧損案件。
八、重大違規案件或海外地區主管機關撤銷或廢止其營業許可。
九、其他重大事件。
前項第一款至第六款之事項，除本會另有規定外，證券商應於事前申報；前項第七款至第九款之事項，證券商應於知悉或事實發生之日起三個營業日內申報。