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Article 14
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A securities firm applying or registering pursuant to Article 5, paragraph 5 or Articles 8 through 10 shall submit the documents shown in Attachments 1 and 2.
The directions for the TPEx review and approval of securities firms' applications or registrations are as given in Attachments 3 and 4.
A foreign securities firm trading financial derivatives shall issue an undertaking stating that the transaction prices it receives at the beginning of the transaction period will not be remitted out of Taiwan until after the transaction matures. This restriction, however, shall not apply to remittance of any transaction prices as required for instruments linked to foreign financial products.
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