In case of any of the following events, an independent fund sales institution shall, within 5 working days, file with the dispatched office of the China Securities Regulatory Commission at its domicile:

(1) Change the company's articles of association, name, domicile, organizational form, business scope, registered capital and senior management personnel;

(2) Add shareholders holding more than 5% of the shares, and change the controlling shareholders and actual controllers;

(3) Shareholders holding more than 5% of shares change their names, or pledge their shares in independent fund sales institutions;

(four) the establishment or cancellation of branches, change the name and business premises of branches;

(5) Foreign equity investment or providing guarantee;

(six) other matters stipulated by the China Securities Regulatory Commission.

After receiving the archival filing materials, the dispatched office of China Securities Regulatory Commission shall conduct verification, and if it finds that the archival filing matters do not conform to laws, administrative regulations and the provisions of China Securities Regulatory Commission, it shall be ordered to make rectification.