Regulations Governing Permission and Administration of Securities and Futures Business Dealings and Investment Between the Taiwan Area and the Mainland Area Article 17
A Taiwan-area SITE that meets the conditions of each of the following subparagraphs may apply to the competent authority for permission for equity investment by the SITE itself or a third-region subsidiary in a Mainland-area securities investment fund management company:1. The SITE has a net worth per share no lower than par value as stated in the financial report for the most recent period, audited and attested or reviewed by a CPA.2. The SITE has during the preceding 3 months received no disposition pursuant to Article 103, subparagraph 1 of the Securities Investment Trust and Consulting Act, Article 100, subparagraph 1 of the Futures Trading Act, or three or more orders for corrective action or improvement within a specified deadline as prescribed in Article 44 of the Trust Enterprise Act.3. The SITE has received no disposition during the preceding half year pursuant to Article 103, subparagraphs 2 or 3 of the Securities Investment Trust and Consulting Act, Article 100, subparagraph 2 of the Futures Trading Act, or Article 44, subparagraph 1 of the Trust Enterprise Act.4. The SITE has received no disposition during the preceding year pursuant to Article 103, subparagraph 4 of the Securities Investment Trust and Consulting Act, Article 100, subparagraph 3 of the Futures Trading Act, or Article 44, subparagraph 2 of the Trust Enterprise Act.5. The SITE has received no disposition during the preceding 2 years pursuant to Article 103, subparagraph 5 of the Securities Investment Trust and Consulting Act, Article 100, subparagraph 4 of the Futures Trading Act, or Article 44, subparagraph 3 of the Trust Enterprise Act.A Taiwan Area SITE that does not meet the conditions of subparagraphs 1 through 4 of the preceding paragraph but that has made concrete improvement in the circumstances of its non-compliance and has received approval from the competent authority is not subject to the provisions of those subparagraphs.
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17條
臺灣地區證券投資信託事業符合下列各款規定者，得向主管機關申請許可，由臺灣地區證券投資信託事業或其第三地區子公司，在大陸地區參股投資證券投資基金管理公司：
一、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。
二、最近三個月未受證券投資信託及顧問法第一百零三條第一款、期貨交易法第一百條第一款或信託業法第四十四條所定糾正、限期改善三次以上之處分。
三、最近半年未受證券投資信託及顧問法第一百零三條第二款及第三款、期貨交易法第一百條第二款或信託業法第四十四條第一款之處分。
四、最近一年未受證券投資信託及顧問法第一百零三條第四款、期貨交易法第一百條第三款或信託業法第四十四條第二款之處分。
五、最近二年未受證券投資信託及顧問法第一百零三條第五款、期貨交易法第一百條第四款或信託業法第四十四條第三款之處分。
臺灣地區證券投資信託事業不符合前項第二款至第五款規定，其違法情事已具體改善並經主管機關認可者，得不受其限制。
一、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。
二、最近三個月未受證券投資信託及顧問法第一百零三條第一款、期貨交易法第一百條第一款或信託業法第四十四條所定糾正、限期改善三次以上之處分。
三、最近半年未受證券投資信託及顧問法第一百零三條第二款及第三款、期貨交易法第一百條第二款或信託業法第四十四條第一款之處分。
四、最近一年未受證券投資信託及顧問法第一百零三條第四款、期貨交易法第一百條第三款或信託業法第四十四條第二款之處分。
五、最近二年未受證券投資信託及顧問法第一百零三條第五款、期貨交易法第一百條第四款或信託業法第四十四條第三款之處分。
臺灣地區證券投資信託事業不符合前項第二款至第五款規定，其違法情事已具體改善並經主管機關認可者，得不受其限制。