Regulations Governing the Conduct of Discretionary Investment Business by Securities Investment Trust Enterprises and Securities Investment Consulting Enterprises Article 31-3
A SITE or a SICE that offers trust-type discretionary investment services shall place the trust assets delivered by the customer in custody with a custodian of discretionary investment assets.Under any of the following circumstances, an institution may not serve as a custodian of discretionary investment assets:1. The institution is a fund custodian, has received an FSC disposition pursuant to Article 115 of the SITC Act, and the period of the disposition has not yet concluded.2. The institution does not meet the conditions prescribed by the FSC.3. Where any of the circumstances under Article 11, paragraph 3, subparagraphs 1 through 5 or paragraph 4 are present, except where approved by the FSC.The SITE or SICE shall enter into a custody agreement with the custodian of the discretionary investment assets for implementing matters such as account opening for securities investment or trading of securities-related products, custody of funds and securities, payment of margins and premiums, settlement of transactions, account servicing, and exercise of equity rights.Individual custody agreements of the type set out in the preceding paragraph shall be signed between the SITE or SICE and the custodian of the discretionary investment assets with respect to each individual customer, and except where law and regulation or the FSC provide otherwise, customers' discretionary assets may not be delivered to the custodian under a joint mandate.Prior to implementing the matters under paragraph 3, the custodian of the discretionary investment assets shall first review the stipulated scope of the discretionary investment services contract and the restrictions it sets out.The content and a template for the custody agreement of paragraph 3 shall be drafted by the SITCA and submitted to the FSC for approval.
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31-3條
證券投資信託事業或證券投資顧問事業以信託方式經營全權委託投資業務，應將委託人交付之信託財產委由全權委託保管機構保管。
有下列情形之一者，不得擔任前項全權委託保管機構：
一、擔任基金保管機構，經本會依本法第一百十五條規定處分，處分期限尚未屆滿。
二、未符合本會所定條件。
三、除經本會核准外，有第十一條第三項第一款至第五款或第四項所列情事。
證券投資信託事業或證券投資顧問事業應與全權委託保管機構簽訂委任保管契約，辦理有價證券投資或證券相關商品交易之開戶、款券保管、保證金與權利金之繳交、買賣交割、帳務處理或股權行使等事宜。
前項委任保管契約，證券投資信託事業或證券投資顧問事業應依客戶別與全權委託保管機構個別簽訂，除法令或本會另有規定外，不得以共同委任方式交付保管。
全權委託保管機構執行第三項之業務，應先審核全權委託投資契約約定之範圍及限制事項。
第三項委任契約之內容及契約範本，由同業公會擬訂後函報本會核定。
有下列情形之一者，不得擔任前項全權委託保管機構：
一、擔任基金保管機構，經本會依本法第一百十五條規定處分，處分期限尚未屆滿。
二、未符合本會所定條件。
三、除經本會核准外，有第十一條第三項第一款至第五款或第四項所列情事。
證券投資信託事業或證券投資顧問事業應與全權委託保管機構簽訂委任保管契約，辦理有價證券投資或證券相關商品交易之開戶、款券保管、保證金與權利金之繳交、買賣交割、帳務處理或股權行使等事宜。
前項委任保管契約，證券投資信託事業或證券投資顧問事業應依客戶別與全權委託保管機構個別簽訂，除法令或本會另有規定外，不得以共同委任方式交付保管。
全權委託保管機構執行第三項之業務，應先審核全權委託投資契約約定之範圍及限制事項。
第三項委任契約之內容及契約範本，由同業公會擬訂後函報本會核定。