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5-1
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Matters that shall be undertaken when a branch office of a securities firm is changed to a simple branch office:
- An application shall be made for approval in accordance with Subparagraph 1 of the preceding article, and for the amendment of registration and the reissuance of the approval and certificate of license.
- An immediate announcement shall be made of matters relating to the change, and assistance shall be rendered to clients, in accordance with their preferences, in making account transfer of centralized depository securities to the securities firm’s headquarters, another branch office, or another securities firm.
- The clearing and settlement fund already paid shall, after the approval and certificate of license is obtained in respect of the simple branch office, be eligible for refund by application to the TWSE once all transactions conducted on the TWSE market have been settled and all related accounts have been cleared.
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