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Article 4
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Except qualified institutional investors, a principal shall sign a risk disclosure statement for first time trading of securities with warrants before a securities broker may accept the order.
The TWSE shall separately establish the particulars to be recorded in the risk disclosure statement in the preceding paragraph.
The qualified institutional investors in Paragraph 1 shall refer to domestic and foreign banks, insurance companies, bill finance companies, securities firms, fund management companies, government investment institutions, government funds, pension funds, mutual funds, unit trusts, securities investment trust companies, securities investment consulting firms, trust enterprise, futures commission merchants and futures service enterprises.
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