Regulations Governing Permission and Administration of Securities and Futures Business Dealings and Investment Between the Taiwan Area and the Mainland Area Article 12
A Taiwan-area securities firm, SITE, securities investment consulting enterprise (SICE), or futures enterprise that meets the conditions of each of the following subparagraphs may apply to the competent authority for permission to establish a representative office in the Mainland Area or to establish such a representative office through a third-region subsidiary:1. It has been established for a period of 3 full years.2. Its CPA attested or reviewed financial report for the most recent period shows a net worth per share no lower than par value.3. It has not during the preceding half year received any disposition pursuant to Article 66, subparagraphs 2 through 4 of the Securities and Exchange Act, Article 103, subparagraphs 1 through 5 of the Securities Investment Trust and Consulting Act, or Article 100, subparagraphs 2 through 4 of the Futures Trading Act, or, it has received such a disposition but the circumstances of its violation have been materially improved and have been recognized by the competent authority..The representatives of the preceding paragraph shall possess good moral character and integrity along with professional and leadership ability, and shall be free of any of the circumstances set out in Article 53 of the Securities and Exchange Act, Article 68 of the Securities Investment Trust and Consulting Act, and Article 28 of the Futures Trading Act.A securities or futures institution of paragraph 1 that applies for permission shall attach the following documents:1. An application form.2. A work plan.3. Minutes of the relevant meeting of the board of directors;4. A financial report for the preceding year.5. Documentation showing that the qualifications of the planned representatives conform to the provisions of the preceding paragraph.6. Other materials or documents, as required by the competent authority.
中文原文 臺灣地區與大陸地區證券期貨業務往來及投資許可管理辦法第12條
臺灣地區證券商、證券投資信託事業、證券投資顧問事業、期貨業符合下列各款規定者，得向主管機關申請許可，由其或第三地區子公司，在大陸地區設立代表人辦事處：
一、設立滿三年。
二、最近期經會計師查核或核閱之財務報告每股淨值不低於面額。
三、最近半年未受證券交易法第六十六條第二款至第四款、證券投資信託及顧問法第一百零三條第二款至第五款，或期貨交易法第一百條第二款至第四款之處分，或受處分而其違法情事已具體改善並經主管機關認可。
前項代表人應具備良好之品德操守及專業領導能力，且無證券交易法第五十三條、證券投資信託及顧問法第六十八條或期貨交易法第二十八條規定情事。
第一項規定之證券、期貨機構申請許可時，應檢附下列書件：
一、申請書。
二、工作計畫書。
三、董事會議事錄。
四、最近一年度財務報告。
五、預定代表人之資格條件符合前項規定之證明文件。
六、其他主管機關規定應提出之資料或文件。
一、設立滿三年。
二、最近期經會計師查核或核閱之財務報告每股淨值不低於面額。
三、最近半年未受證券交易法第六十六條第二款至第四款、證券投資信託及顧問法第一百零三條第二款至第五款，或期貨交易法第一百條第二款至第四款之處分，或受處分而其違法情事已具體改善並經主管機關認可。
前項代表人應具備良好之品德操守及專業領導能力，且無證券交易法第五十三條、證券投資信託及顧問法第六十八條或期貨交易法第二十八條規定情事。
第一項規定之證券、期貨機構申請許可時，應檢附下列書件：
一、申請書。
二、工作計畫書。
三、董事會議事錄。
四、最近一年度財務報告。
五、預定代表人之資格條件符合前項規定之證明文件。
六、其他主管機關規定應提出之資料或文件。