Regulations Governing the Conduct of Discretionary Investment Business by Securities Investment Trust Enterprises and Securities Investment Consulting Enterprises Article 11
Where a SITE or SICE provides mandate-type discretionary investment services, the customer shall place the discretionary investment assets in the custody of the discretionary investment custodian or transfer them to the custodian by trust.The SITE or the SICE may not for any reason keep the customer's discretionary investment assets in its own custody.The custodian of the discretionary investment assets referred to in the preceding paragraph shall be personally designated by the customer.The SITE or the SICE has the obligation to inform the customer when any of the following types of controlling relationship exist between itself and the custodian of the discretionary investment assets designated by the customer:1. The custodian of the discretionary investment assets has investment holdings of 10 percent or more of the total outstanding shares of the SITE or the SICE.2. The custodian of the discretionary investment assets serves as a director or supervisor of the SITE or the SICE, or a director or supervisor of the custodian of the discretionary investment assets serves as a director, supervisor, or managerial officer of the SITE or the SICE.3. The SITE or the SICE has investment holdings of 10 percent or more of the total outstanding shares of the custodian of the discretionary investment assets.4. The SITE, the SICE, or a representative thereof serves as a director or supervisor of the custodian of the discretionary investment assets.5. Any other substantive controlling relationship exists between the custodian of the discretionary investment assets and the SITE or the SICE.The provisions of subparagraph 2 of the preceding paragraph apply mutatis mutandis to the representative or designated representative of a director or supervisor that is a juristic person.If a discretionary investment services customer is a trust enterprise or another enterprise approved by the FSC, the customer may keep the discretionary investment assets in its own custody without regard for the provisions of paragraph 1.If a discretionary investment business customer meets one of the conditions listed below and furthermore has designated a custodian for the discretionary investment assets, the SITE or SICE and the customer may agree between themselves on the custody of the discretionary investment assets, and are exempted from application of the provisions of paragraph 1 that the customer place the discretionary investment assets in the custody of a discretionary investment custodian or transfer them to the custodian by trust:1. Is a qualified institutional investor as set forth in paragraph 2, Article 4 of the Financial Consumer Protection Act.2. Simultaneously meets the conditions set out in all the items of subparagraph 2, paragraph 3, Article 3 of the Regulations Governing Offshore Structured Products, and furthermore has applied in writing to the SITE or SICE for the status of a high net worth corporate investor.
中文原文 證券投資信託事業證券投資顧問事業經營全權委託投資業務管理辦法第11條
證券投資信託事業或證券投資顧問事業以委任方式經營全權委託投資業務，應由客戶將資產委託全權委託保管機構保管或信託移轉予保管機構，證券投資信託事業或證券投資顧問事業並不得以任何理由保管受託投資資產。
前項全權委託保管機構，應由客戶自行指定之。
客戶指定之全權委託保管機構，與證券投資信託事業或證券投資顧問事業間具有下列控制關係者，證券投資信託事業或證券投資顧問事業對客戶應負告知義務：
一、投資於證券投資信託事業或證券投資顧問事業已發行股份總數百分之十以上股份。
二、擔任證券投資信託事業或證券投資顧問事業董事或監察人；或其董事、監察人擔任證券投資信託事業或證券投資顧問事業董事、監察人或經理人。
三、證券投資信託事業或證券投資顧問事業持有其已發行股份總數百分之十以上股份。
四、由證券投資信託事業或證券投資顧問事業或其代表人擔任董事或監察人。
五、全權委託保管機構與證券投資信託事業或證券投資顧問事業間，具有其他實質控制關係。
董事、監察人為法人者，其代表人或指定代表行使職務者，準用前項第二款規定。
全權委託投資業務之客戶為信託業或其他經本會核准之事業，得由客戶自行保管委託投資資產，不適用第一項規定。
全權委託投資業務之客戶符合下列條件之一，且所委託投資資產已指定保管機構者，證券投資信託事業或證券投資顧問事業得與該客戶自行約定委託投資資產之保管，不適用第一項有關應由客戶將資產委託全權委託保管機構保管或信託移轉予保管機構之規定：
一、金融消費者保護法第四條第二項所定之專業投資機構。
二、同時符合境外結構型商品管理規則第三條第三項第二款各目所定條件，並以書面向證券投資信託事業或證券投資顧問事業申請為高淨值投資法人。
前項全權委託保管機構，應由客戶自行指定之。
客戶指定之全權委託保管機構，與證券投資信託事業或證券投資顧問事業間具有下列控制關係者，證券投資信託事業或證券投資顧問事業對客戶應負告知義務：
一、投資於證券投資信託事業或證券投資顧問事業已發行股份總數百分之十以上股份。
二、擔任證券投資信託事業或證券投資顧問事業董事或監察人；或其董事、監察人擔任證券投資信託事業或證券投資顧問事業董事、監察人或經理人。
三、證券投資信託事業或證券投資顧問事業持有其已發行股份總數百分之十以上股份。
四、由證券投資信託事業或證券投資顧問事業或其代表人擔任董事或監察人。
五、全權委託保管機構與證券投資信託事業或證券投資顧問事業間，具有其他實質控制關係。
董事、監察人為法人者，其代表人或指定代表行使職務者，準用前項第二款規定。
全權委託投資業務之客戶為信託業或其他經本會核准之事業，得由客戶自行保管委託投資資產，不適用第一項規定。
全權委託投資業務之客戶符合下列條件之一，且所委託投資資產已指定保管機構者，證券投資信託事業或證券投資顧問事業得與該客戶自行約定委託投資資產之保管，不適用第一項有關應由客戶將資產委託全權委託保管機構保管或信託移轉予保管機構之規定：
一、金融消費者保護法第四條第二項所定之專業投資機構。
二、同時符合境外結構型商品管理規則第三條第三項第二款各目所定條件，並以書面向證券投資信託事業或證券投資顧問事業申請為高淨值投資法人。