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Article 4
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To apply to operate fund brokerage business, the applicant shall apply to establish a securities firm or convert into a securities firm under Article 9 or 10-2 of the Standards Governing the Establishment of Securities Firms, or to add an additional business type or business item under Chapter VI of the Standards Governing the Establishment of Securities Firms. It shall submit the application and supporting documents to the TPEx which will review them and then forward them to the competent authority for approval.
After a securities firm has received approval from the competent authority under the preceding paragraph, it shall submit an application (Attachment 1) clearly stating the required information, along with the required supporting documents, to the TPEx to apply to sign a Contract for Operation by a Securities Firm of Brokerage Business for Trading and Exchanging Beneficial Certificates of Funds (Attachment 2).
If a securities firm, when it has merely signed the Contract with the TPEx under the preceding paragraph, experiences any of the matters required to be reported as listed in Article 4, paragraph 1 of the Regulations Governing Securities Firms, it shall, unless otherwise provided by law or regulation, submit its report to the TPEx, which shall forward it to the competent authority.
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