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Article 5
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A securities firm that has obtained the permission license issued or reissued by the competent authority under the preceding paragraph shall submit an application form (Attachment 1), specifying the required particulars, together with the required documents, to the TPEx to apply to enter into a contract for the conduct of equity crowdfunding business (Attachment 2).
If any circumstance that requires reporting under Article 4, paragraph 1 of the Regulations Governing Securities Firms occurs to a securities firm that has entered into the contract with the TPEx under the preceding paragraph, unless otherwise provided by law or regulation, the securities firm shall report the circumstance to the TPEx, which will forward the report to the competent authority.
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