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Article 10
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A securities and futures holding company shall prepare and submit to the Competent Authority for approval an annual business plan and a budget, three months and two months before the beginning of the fiscal year respectively, and shall do the same for any amendments thereto. Within 15 days after the end of each quarter, it shall prepare a report on the implementation status of the annual business plan for that quarter, and submit it to the Competent Authority for recordation.
A securities and futures holding company shall implement the annual business plan and budget approved by the Competent Authority, and draft performance evaluation and assessment rules for its departments and personnel, and submit them, and any amendments thereto, to the Competent Authority for approval.
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