Regulations Governing the Public Offering of Securities Investment Trust Funds by Securities Investment Trust Enterprises Article 12
A SITE may not commence a public offering or follow-on offering of a securities investment trust fund until it has filed for effective registration by submitting to the FSC a filing furnishing the required particulars together with the required documents. However, a SITE to which any of the circumstances set out in Article 12-1 applies, or that makes a public offering under Article 7, paragraph 1 and Article 18, subparagraph 1 herein or Article 23, subparagraph 9 of the Regulations Governing Securities Investment Trust Funds, shall apply for approval from the FSC.A SITE that files for effective registration under the preceding paragraph shall obtain a review opinion from the Securities Investment Trust and Consulting Association of the R.O.C. ("SITCA").When a SITE makes any of the following public offerings pursuant to paragraph 1, its registration will become effective after a prescribed number of business days from the date upon which the FSC receives the filing:1. In the case of a public offering of a securities investment trust fund set out in Article 23, subparagraphs 1 to 8 of the Regulations Governing Securities Investment Trust Funds that is limited to domestic investment, the registration will become effective when 12 full business days have elapsed counting inclusively from the date upon which the FSC receives the filing.2. In the case of a public offering of a securities investment trust fund set out in Article 23, subparagraphs 1 to 8 of the Regulations Governing Securities Investment Trust Funds that is not limited to domestic investment, the registration will become effective when 30 full business days have elapsed counting inclusively from the date upon which the FSC receives the filing. However, for a SITE that meets the conditions prescribed by the FSC, the foregoing period for effective registration will be reduced to 12 business days.3. In the case of a follow-on offering of any type of securities investment trust funds, the registration will become effective when 7 full business days have elapsed counting inclusively from the date upon which the FSC receives the filing.Where a SITE fails to file registration documents in full or the documents do not furnish all the required particulars, or where any of the circumstances under Article 6 herein have occurred, but it submits supplementation in full of its own accord prior to being notified by the competent authority of the suspension of effective registration, its registration shall become effective when the effective registration period of the preceding paragraph has elapsed, counting from the date on which the competent authority receives the supplementary documentation.If the public offering or follow-on offering in a filing for effective registration under paragraph 1 involves inward or outward remittance of funds, or the fund is a money market securities investment trust fund, the SITE shall obtain a letter of consent from the Central Bank before it may conduct the offering. This requirement shall not apply, however, if consent from the Central Bank has been obtained pursuant to Article 18, subparagraph 2.
中文原文 證券投資信託事業募集證券投資信託基金處理準則第12條
證券投資信託事業募集或追加募集證券投資信託基金，應檢附申報書，載明其應記載事項，連同應檢附書件向本會申報生效後，始得為之。
但有第十二條之一所列情形，或辦理第七條第一項、第十八條第一款及證券投資信託基金管理辦法第二十三條第九款之募集案件者，應向本會申請核准。
證券投資信託事業依前項規定提出申報，應取得中華民國證券投資信託暨顧問商業同業公會（以下簡稱同業公會）審查意見書。
證券投資信託事業依第一項規定辦理下列各款案件，於本會收到申報書即日起屆滿一定營業日生效：
一、辦理募集證券投資信託基金管理辦法第二十三條第一款至第八款所列以投資國內為限之證券投資信託基金案件者，於本會收到申報書即日起屆滿十二個營業日生效。
二、辦理募集證券投資信託基金管理辦法第二十三條第一款至第八款所列不以投資國內為限之證券投資信託基金案件者，於本會收到申報書即日起屆滿三十個營業日生效。
但符合本會所定條件之證券投資信託事業，前揭申報生效期間縮短為十二個營業日。
三、辦理追加募集各類型證券投資信託基金案件者，於本會收到申報書即日起屆滿七個營業日生效。
證券投資信託事業所提出之申報書件不完備、應記載事項不充分或有第六條規定之情事，於未經本會通知停止其申報生效前，自行完成補正者，自本會收到補正書件即日起屆滿前項規定之申報生效期間生效。
依第一項規定申報生效之募集或追加募集案件，如涉及資金之匯出、匯入，或為貨幣市場證券投資信託基金者，證券投資信託事業應於募集前取具中央銀行同意函，始得募集。
但已依第十八條第二款取得中央銀行同意者，不在此限。
但有第十二條之一所列情形，或辦理第七條第一項、第十八條第一款及證券投資信託基金管理辦法第二十三條第九款之募集案件者，應向本會申請核准。
證券投資信託事業依前項規定提出申報，應取得中華民國證券投資信託暨顧問商業同業公會（以下簡稱同業公會）審查意見書。
證券投資信託事業依第一項規定辦理下列各款案件，於本會收到申報書即日起屆滿一定營業日生效：
一、辦理募集證券投資信託基金管理辦法第二十三條第一款至第八款所列以投資國內為限之證券投資信託基金案件者，於本會收到申報書即日起屆滿十二個營業日生效。
二、辦理募集證券投資信託基金管理辦法第二十三條第一款至第八款所列不以投資國內為限之證券投資信託基金案件者，於本會收到申報書即日起屆滿三十個營業日生效。
但符合本會所定條件之證券投資信託事業，前揭申報生效期間縮短為十二個營業日。
三、辦理追加募集各類型證券投資信託基金案件者，於本會收到申報書即日起屆滿七個營業日生效。
證券投資信託事業所提出之申報書件不完備、應記載事項不充分或有第六條規定之情事，於未經本會通知停止其申報生效前，自行完成補正者，自本會收到補正書件即日起屆滿前項規定之申報生效期間生效。
依第一項規定申報生效之募集或追加募集案件，如涉及資金之匯出、匯入，或為貨幣市場證券投資信託基金者，證券投資信託事業應於募集前取具中央銀行同意函，始得募集。
但已依第十八條第二款取得中央銀行同意者，不在此限。