Regulations Governing Permission and Administration of Securities and Futures Business Dealings and Investment Between the Taiwan Area and the Mainland Area Article 34
A Mainland-area securities company or a Mainland-invested securities company that applies pursuant to Article 31 for equity investment in a Taiwan-area securities firm shall apply to the competent authority for permission with the following documents:1. An application form.2. Basic company information on the Mainland-area securities company or Mainland-invested securities company, including company name, paid-in capital, period of establishment, scope of operations, principal responsible persons, and members of the board of directors and their curriculum vitae.3. A list of shareholders holding 5 percent or more of the total issued voting shares of the Mainland-area securities company or Mainland-invested securities company and their background information.4. A permission license approved and issued by the competent securities and futures authority or related agency at the place of registration5. The company's articles of incorporation.6. A record of the resolution by the board of directors or shareholders meeting of the Mainland-area securities company or Mainland-invested securities company regarding application to invest in the Taiwan Area.7. An investment plan, which shall include the strategic objective and means of the investment, anticipated benefits, source of funding, and utilization plan.8. A description of the company's experience in international securities business and relevant documentation.9. An audit opinion issued by a CPA of the place of the company's registration regarding requirements for sound internal control systems and a clearly defined source of funding for the investment.10. A legal opinion issued by an attorney of the place of the company's registration regarding its compliance with Article 31, paragraph 1, subparagraphs 8 and 9 and the legal compliance status of its business operations.11. Financial reports for the most recent 3 years, audited and attested by a CPA of the company's place of registration; if the application is made more than 6 months after the start of the fiscal year, the financial report for the most recent half-year period, audited and attested by a CPA of the place of the company's registration, shall also be submitted.12. Documentation showing permission issued by the competent securities authority of the place of registration and compliance with Article 31, paragraph 1, subparagraphs 3 and 10.13. An explanation of the soundness of the company's corporate governance and risk management systems, with documentation.14. An explanation of the transparency of financial and operational information, with documentation.15. A written declaration that there is no misrepresentation or nondisclosure in any matter set out in the application and attached documents.16. Documentation of compliance with Article 31, paragraph 1, subparagraph 11.17. The equity investment agreement.18. Other documents to be submitted pursuant to the regulations of the competent authority.The documents under subparagraphs 4 through 6, subparagraphs 8 through 12, and subparagraphs 16 and 17 of the preceding paragraph shall be legalized by a notary public or a notary organization of the place of registration, and in addition, if the documents were produced in a third region, they must also be authenticated by a Taiwan foreign representative office; if they were produced in the Mainland Area, they must be authenticated or verified by an agency established or designated by the Executive Yuan or a delegated private-sector entity.A traditional Chinese version must be submitted for the documents prescribed by each subparagraph under paragraph 1.
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34條
大陸地區證券公司或陸資證券公司依第三十一條規定申請參股投資臺灣地區證券商，應檢附下列書件，向主管機關申請許可：
一、申請書。
二、大陸地區證券公司或陸資證券公司基本資料：包括公司名稱、實收資本、成立時間、經營範圍、公司主要負責人、董事會成員及其簡歷。
三、持有大陸地區證券公司或陸資證券公司已發行有表決權股份總數百分之五以上股東之名冊及其背景資料。
四、登記地證券主管機關或相關機構所核發營業許可證照。
五、公司章程。
六、大陸地區證券公司或陸資證券公司董事會或股東會對於申請在臺灣地區投資之決議錄。
七、投資計畫書：應含投資策略目的與方式、預期效益、資金來源、運用計畫等項目。
八、具有國際證券業務經驗之說明及相關證明文件。
九、登記地會計師出具符合內部控制制度健全及投資資金來源明確之審查意見書。
十、登記地律師出具符合第三十一條第一項第八款及第九款規定及業務經營守法性之法律意見書。
十一、最近三年度經登記地會計師查核簽證之財務報告，申請時已逾年度開始六個月者，應加送最近上半年度經登記地會計師查核簽證之財務報告。
十二、經登記地證券主管機關出具同意許可投資及符合第三十一條第一項第三款及第十款規定之證明文件。
十三、公司治理及風險管理制度健全之說明及證明文件。
十四、財務、業務資訊透明之說明及證明文件。
十五、申請書及附件所載事項無虛偽或隱匿之聲明書。
十六、符合第三十一條第一項第十一款規定之證明文件。
十七、參股投資協議書。
十八、其他主管機關規定應提出之文件。
前項第四款至第六款、第八款至第十二款、第十六款及第十七款規定之書件，除須經登記地公證人或公證機構認證外，其屬第三地區製作之書件者，並須經我國駐外館處予以驗證；其屬大陸地區製作之書件者，須經行政院設立或指定之機構或委託之民間團體予以驗證或查證。
第一項各款所定書件，均須附具正體中文本。
一、申請書。
二、大陸地區證券公司或陸資證券公司基本資料：包括公司名稱、實收資本、成立時間、經營範圍、公司主要負責人、董事會成員及其簡歷。
三、持有大陸地區證券公司或陸資證券公司已發行有表決權股份總數百分之五以上股東之名冊及其背景資料。
四、登記地證券主管機關或相關機構所核發營業許可證照。
五、公司章程。
六、大陸地區證券公司或陸資證券公司董事會或股東會對於申請在臺灣地區投資之決議錄。
七、投資計畫書：應含投資策略目的與方式、預期效益、資金來源、運用計畫等項目。
八、具有國際證券業務經驗之說明及相關證明文件。
九、登記地會計師出具符合內部控制制度健全及投資資金來源明確之審查意見書。
十、登記地律師出具符合第三十一條第一項第八款及第九款規定及業務經營守法性之法律意見書。
十一、最近三年度經登記地會計師查核簽證之財務報告，申請時已逾年度開始六個月者，應加送最近上半年度經登記地會計師查核簽證之財務報告。
十二、經登記地證券主管機關出具同意許可投資及符合第三十一條第一項第三款及第十款規定之證明文件。
十三、公司治理及風險管理制度健全之說明及證明文件。
十四、財務、業務資訊透明之說明及證明文件。
十五、申請書及附件所載事項無虛偽或隱匿之聲明書。
十六、符合第三十一條第一項第十一款規定之證明文件。
十七、參股投資協議書。
十八、其他主管機關規定應提出之文件。
前項第四款至第六款、第八款至第十二款、第十六款及第十七款規定之書件，除須經登記地公證人或公證機構認證外，其屬第三地區製作之書件者，並須經我國駐外館處予以驗證；其屬大陸地區製作之書件者，須經行政院設立或指定之機構或委託之民間團體予以驗證或查證。
第一項各款所定書件，均須附具正體中文本。