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Article 13
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Except where laws or regulations provide otherwise, a securities and futures holding company shall report to the Competent Authority within five days after the occurrence of any of the following events:
- Adoption of a resolution at a shareholders or board of directors meeting.
- A change in directors, supervisors, or managerial officers.
- The signing of a cooperation agreement or memorandum of understanding with a foreign exchange, clearing house, self-regulatory organization, or other institution.
- The responsible person or an employee of the securities and futures holding company becomes involved in litigation or is subject to a litigation judgment as a result of performance of their duties, or is the debtor in a bankruptcy or compulsory execution, or has a check dishonored or is refused service by a bank.
- Preparation and submission of an audit report and notification of the supervisors pursuant to Article 15, paragraph 2 of the Regulations Governing the Establishment of Internal Control Systems by Service Enterprises in Securities and Futures Markets.
- Any other matter that the Competent Authority requires to be reported.
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