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3
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The securities firm is deemed to avoid or refuse an examination if it:
- fails to present account books, trading certificates and other relevant materials during the time period prescribed by the TWSE.
- creates an incident on purpose to prevent the examination and review work from proceeding smoothly.
- though the incident in the preceding subparagraph is not created purposely allows it to happen despite being able to foresee it or fails to eliminate it despite a chance to do so in its course.
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