Regulations Governing Permission and Administration of Securities and Futures Business Dealings and Investment Between the Taiwan Area and the Mainland Area Article 9
When a Taiwan-area securities and futures institution engages in the business of the two preceding articles, with the exception of Article 7, paragraph 6, its head office shall apply to the competent authority for permission, stating the types of business and business counterparties, and submitting the following documents:1. The name and address of the branches, and the name and domicile of the responsible persons.2. The types of business for which the local governments of such branches outside of the Taiwan Area has granted prior approval for the branch unit to operate.3. A written statement of the business and financial conditions of such branches.4. A business plan, containing a business development plan, detailed business items, and estimated balance sheets and income statements for the coming 3 years.
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9條
臺灣地區證券、期貨機構及其在第三地區設立之分支機構，辦理前二條所定之業務，除第七條第六款外，應由總機構敘明業務往來之種類、對象，並檢附下列書件，向主管機關申請許可：
一、該分支機構之名稱、所在地及負責人之姓名、住所。
二、該在臺灣地區以外分支機構經當地政府核准經營之業務種類。
三、該分支機構之業務及財務狀況說明書。
四、業務發展計畫、詳細業務項目及預估未來三年之資產負債表與損益表之營業計畫書。
一、該分支機構之名稱、所在地及負責人之姓名、住所。
二、該在臺灣地區以外分支機構經當地政府核准經營之業務種類。
三、該分支機構之業務及財務狀況說明書。
四、業務發展計畫、詳細業務項目及預估未來三年之資產負債表與損益表之營業計畫書。