Regulations Governing the Conduct of Discretionary Investment Business by Securities Investment Trust Enterprises and Securities Investment Consulting Enterprises Article 21
A SITE or a SICE entering into a discretionary investment services contract with a customer shall give the customer a seven-day period to review the contract in its entirety before signing. It shall also seek a thorough understanding of the customer's financial strength, investment experience, objectives, and requirements, and produce a customer information form to be retained for reference along with other related documents. It shall also assign a specific individual to explain in detail to the customer matters related to discretionary investment, and give the customer a discretionary investment prospectus, which shall be made an appendix to the discretionary investment services contract.The prospectus referred to in the preceding paragraph shall set out the following matters:1. The nature of the discretionary investment, its scope, management principles, fee collection methods, contractual prohibitions, the legal relationship between the customer, discretionary investment enterprise and custodian of the discretionary investment assets, and method of operation.2. The method of analysis, sources of data, and investment strategies for utilization of discretionary investment assets.3. The educational and professional backgrounds of the department supervisor and associated persons of the department operating discretionary investment services, and the status of any dispositions received by those persons in the preceding two years pursuant to Article 104 of the SITC Act, Article 101 of the Futures Trading Act, or Article 56 of the Securities and Exchange Act.4. The comprehensive income statement and balance sheet for the two preceding fiscal years.5. A description of any litigated or non-litigated matters resulting from conduct of the business.6. The status of any dispositions received by the enterprise or its responsible person pursuant to Articles 103 or 104 of the SITC Act, Articles 100 or 101 of the Futures Trading Act, Article 56 or 66 of the Securities and Exchange Act, or Article 44 of the Trust Enterprise Act.7. Cautionary language regarding the risks of investment or trading, the special characteristics of the instruments to be traded or invested in, and any possible associated risks or legal restrictions.Any change in the prospectus referred to in the paragraph 1 with a material influence on customer rights and interests shall be reported to the FSC for recordation.If a discretionary investment business customer meets the conditions set out in Article 11, paragraph 6, the SITE or SICE and the customer may agree between themselves on the matters required to be done before signing of the discretionary investment services contract, and are exempted from application of the provisions of the preceding three paragraphs.
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21條
證券投資信託事業或證券投資顧問事業與客戶簽訂全權委託投資契約前，應有七日以上之期間，供客戶審閱全部條款內容，並先對客戶資力、投資經驗及其目的需求充分瞭解，製作客戶資料表連同相關證明文件留存備查；另應將全權委託投資之相關事項指派專人向客戶做詳細說明，並交付全權委託投資說明書，該說明書並作為全權委託投資契約之附件。
前項說明書應載明下列事項：
一、全權委託投資之性質、範圍、經營原則、收費方式、禁止規定、客戶、全權委託投資業者及全權委託保管機構之法律關係及運作方式等事項。
二、運用委託投資資產之分析方法、資訊來源及投資策略。
三、經營全權委託投資業務之部門主管及業務人員之學歷、經歷及最近二年受本法第一百零四條、期貨交易法第一百零一條或證券交易法第五十六條規定之處分情形。
四、最近二年度綜合損益表及資產負債表。
五、因業務發生訴訟或非訟事件之說明。
六、最近二年事業及其負責人受本法第一百零三條或第一百零四條、期貨交易法第一百條或第一百零一條、證券交易法第五十六條或第六十六條、或信託業法第四十四條規定之處分情形。
七、投資或交易風險警語、投資或交易標的之特性、可能之風險及法令限制。
第一項說明書如有重大影響客戶權益事項之變更，應向本會報備。
全權委託投資業務之客戶符合第十一條第六項所定條件者，證券投資信託事業或證券投資顧問事業與客戶簽訂全權委託投資契約前應辦理事項，得與該客戶自行約定，不適用前三項規定。
前項說明書應載明下列事項：
一、全權委託投資之性質、範圍、經營原則、收費方式、禁止規定、客戶、全權委託投資業者及全權委託保管機構之法律關係及運作方式等事項。
二、運用委託投資資產之分析方法、資訊來源及投資策略。
三、經營全權委託投資業務之部門主管及業務人員之學歷、經歷及最近二年受本法第一百零四條、期貨交易法第一百零一條或證券交易法第五十六條規定之處分情形。
四、最近二年度綜合損益表及資產負債表。
五、因業務發生訴訟或非訟事件之說明。
六、最近二年事業及其負責人受本法第一百零三條或第一百零四條、期貨交易法第一百條或第一百零一條、證券交易法第五十六條或第六十六條、或信託業法第四十四條規定之處分情形。
七、投資或交易風險警語、投資或交易標的之特性、可能之風險及法令限制。
第一項說明書如有重大影響客戶權益事項之變更，應向本會報備。
全權委託投資業務之客戶符合第十一條第六項所定條件者，證券投資信託事業或證券投資顧問事業與客戶簽訂全權委託投資契約前應辦理事項，得與該客戶自行約定，不適用前三項規定。