Regulations Governing Securities Firms Accepting Orders to Trade Foreign Securities Article 3
The terms "professional investor," "professional institutional investor," "high net worth juristic person investor," and "non-professional investor" as used herein shall be defined in accordance with Article 3, paragraphs 3 and 4 of the Regulations Governing Offshore Structured Products.With the exception of professional institutional investors, any professional investor may apply for a change of status to non-professional investor; a non-professional investor, however, that does not yet comply with the preceding paragraph's eligibility requirements for professional investors may not apply for a change of status to professional investor.With respect to the eligibility requirements that shall be met by professional investors, the securities firm shall fulfill its responsibility for due diligence and shall obtain reasonable and credible supporting evidence from the principal. The securities firm shall incorporate its assessment of whether a professional investor possesses adequate professional knowledge and trading experience with respect to financial products into its know-your-customer system and shall submit it for adoption by the board of directors. In the case of a securities firm that is a foreign securities firm's branch within the Republic of China with no board of directors, it shall be submitted for approval by the responsible person within the Republic of China.
中文原文 證券商受託買賣外國有價證券管理規則第3條
本規則所稱專業投資人、專業機構投資人、高淨值投資法人及非專業投資人，適用境外結構型商品管理規則第三條第三項及第四項之規定。
除專業機構投資人外，專業投資人得以書面向證券商申請變更為非專業投資人。
但非專業投資人在未符合前項專業投資人之資格前，不得申請變更為專業投資人。
有關專業投資人應符合之資格條件，應由證券商盡合理調查之責任，並向委託人取得合理可信之佐證依據。
證券商針對專業投資人具備充分金融商品專業知識、交易經驗之評估方式，應納入瞭解客戶制度並報經董事會通過。
但外國證券商在中華民國設置分支機構無董事會者，由中華民國境內負責人同意。
除專業機構投資人外，專業投資人得以書面向證券商申請變更為非專業投資人。
但非專業投資人在未符合前項專業投資人之資格前，不得申請變更為專業投資人。
有關專業投資人應符合之資格條件，應由證券商盡合理調查之責任，並向委託人取得合理可信之佐證依據。
證券商針對專業投資人具備充分金融商品專業知識、交易經驗之評估方式，應納入瞭解客戶制度並報經董事會通過。
但外國證券商在中華民國設置分支機構無董事會者，由中華民國境內負責人同意。