Regulations Governing Securities Firms Accepting Orders to Trade Foreign Securities Article 14
Article 36, paragraph 1 of the Regulations Governing Securities Firms shall apply mutatis mutandis to any securities firm that recommends foreign securities for which it accepts trading orders.When a securities firm recommends foreign securities, then except when the subject investment is an offshore fund or an offshore structured product, which shall be separately handled in accordance with relevant regulations, the securities firm shall comply with the following provisions:1.The prospectuses and other information provided may only be placed at specific operating counters.2.The securities firm may not engage in advertising, sales recommendations, or business promotions of a specific subject investment to the general public.3.The securities firm may engage in recommendation of a specific subject investment with a principal who has entered into a foreign securities brokerage contract by means of discussion in person, by e-mail or telephone contact, or by mailing product prospectuses. When investments are being recommended to a non-professional investor, the securities firm shall additionally abide by the following provisions:A.The securities firm must first obtain the investor's written consent for recommendations by the securities firm. The written consent shall be a single, independent document and may not be included as a part of other agreements. The principal may at any time terminate through written notification the consent to recommendations by the securities firm, and after having been informed in this manner, the securities firm may not continue to make such recommendations. The securities firm may obtain the aforesaid written consent by letter or electronically in a manner sufficient to confirm that the consenter is the principal him/her/itself and the principal's expression of intent.B.After obtaining the principal's consent as set out in the preceding item, the securities firm shall confirm that the principal has placed orders for five or more trades in foreign securities with the securities firm during the preceding year, and shall ask the principal when signing the consent form to confirm that he or she is a graduate of junior high school or a higher level institution and is not a holder of a National Health Insurance Major Illness/Injury Certificate.C.The securities firm shall have already confirmed, through the procedures under Article 11, that the specific subject investment being recommended is suitable for the given principal.D.The specific subject investment being recommended must meet the requirement of already being traded on a foreign securities exchange or OTC market designated by the FSC.4.If the specific subject investment is restricted at its overseas place of issuance to investment by professional investors only, or is a privately placed product, the securities firm may not accept investment by a non-professional investor, provided that this restriction does not apply if the principal possesses the qualifications required for an investor in the specific subject investment in question.The regulations governing securities firms recommending trades in foreign securities shall be prescribed by the securities dealers association.
中文原文 證券商受託買賣外國有價證券管理規則第14條
證券商受託買賣之外國有價證券，經其推介者，準用證券商管理規則第三十六條第一項規定。
證券商推介外國有價證券，除投資標的為境外基金或境外結構型商品另依相關規定辦理外，應遵守下列事項：
一、所提供之說明書等資料，僅得於特定營業櫃檯放置。
二、不得就特定投資標的對一般大眾進行廣告、業務推介及營業促銷活動。
三、對已簽訂受託買賣外國有價證券契約之委託人，得就特定投資標的以當面洽談、電話或電子郵件聯繫、寄發商品說明書之方式進行推介。
推介對象為非專業投資人者，證券商並應遵守下列事項：
（一）須事先取得委託人書面同意證券商向其推介，該同意書應為單張且不得併入其他約據中。
委託人得隨時以書面終止證券商向其推介之同意，證券商獲知後不得續行推介。
前述書面方式，證券商得採足以確認委託人為本人及其意思表示之通信或電子化方式為之。
（二）取得前目委託人之同意時，應確認委託人最近一年委託證券商買賣外國有價證券之交易筆數達五筆以上，並請委託人於同意書簽署確認教育程度為國中畢業以上且未領有全民健康保險重大傷病證明卡。
（三）已依第十一條所定程序確認所推介之特定投資標的適合該委託人。
（四）該特定投資標的符合已於本會指定外國證券交易所或外國店頭市場交易。
四、如特定投資標的於國外發行地僅限專業投資人投資或屬私募商品者，證券商不得接受非專業投資人投資。
但委託人符合該特定投資標的要求之投資人資格者，不在此限。
證券商推介買賣外國有價證券之管理辦法，由證券商同業公會訂定之。
證券商推介外國有價證券，除投資標的為境外基金或境外結構型商品另依相關規定辦理外，應遵守下列事項：
一、所提供之說明書等資料，僅得於特定營業櫃檯放置。
二、不得就特定投資標的對一般大眾進行廣告、業務推介及營業促銷活動。
三、對已簽訂受託買賣外國有價證券契約之委託人，得就特定投資標的以當面洽談、電話或電子郵件聯繫、寄發商品說明書之方式進行推介。
推介對象為非專業投資人者，證券商並應遵守下列事項：
（一）須事先取得委託人書面同意證券商向其推介，該同意書應為單張且不得併入其他約據中。
委託人得隨時以書面終止證券商向其推介之同意，證券商獲知後不得續行推介。
前述書面方式，證券商得採足以確認委託人為本人及其意思表示之通信或電子化方式為之。
（二）取得前目委託人之同意時，應確認委託人最近一年委託證券商買賣外國有價證券之交易筆數達五筆以上，並請委託人於同意書簽署確認教育程度為國中畢業以上且未領有全民健康保險重大傷病證明卡。
（三）已依第十一條所定程序確認所推介之特定投資標的適合該委託人。
（四）該特定投資標的符合已於本會指定外國證券交易所或外國店頭市場交易。
四、如特定投資標的於國外發行地僅限專業投資人投資或屬私募商品者，證券商不得接受非專業投資人投資。
但委託人符合該特定投資標的要求之投資人資格者，不在此限。
證券商推介買賣外國有價證券之管理辦法，由證券商同業公會訂定之。