Regulations Governing Securities Firms Article 58-1
If the business that an overseas branch office of a securities firm would handle under the local securities laws and regulations and customary business practices of the place extend beyond the business items of the head office, an application for approval, accompanied by the following documents, shall be filed with the FSC in advance:1. Business item particulars: including the products to be handled, types of transactions, and trading counterparts and markets.2. Local laws and regulations that must be complied with when engaging in such business.3. Minutes of the board of directors' (or board of governors') meeting.4. Internal control and risk management plans.5. Legal opinion by a lawyer.6. Other documents that the FSC requires to be submitted.If there is any change in the FSC-approved business items of an overseas branch office of a securities firm, the change shall be reported to the FSC for recordation within 10 days from the day of the change.The overseas branch offices of a securities firm shall abide by the local securities laws and regulations of the place where they are conducting business.
中文原文 證券商管理規則第58-1條
證券商之國外分支機構，依當地證券法令與商業習慣辦理之業務，如有逾越本公司營業項目者，應事先檢具下列書件，向本會申請核准：
一、營業項目內容：包括所從事之商品、交易型態、交易對象市場等。
二、從事該項業務應遵守之當地管理法令。
三、董事會（理事會）議事錄。
四、內部控制及風險管理規畫書。
五、律師之法律意見書。
六、其他經本會規定應提出之文件。
證券商國外分支機構經本會核准之營業項目如有變更者，應於變更之日起十日內申報本會備查。
證券商國外分支機構於當地執行業務應遵守當地證券法令之規定。
一、營業項目內容：包括所從事之商品、交易型態、交易對象市場等。
二、從事該項業務應遵守之當地管理法令。
三、董事會（理事會）議事錄。
四、內部控制及風險管理規畫書。
五、律師之法律意見書。
六、其他經本會規定應提出之文件。
證券商國外分支機構經本會核准之營業項目如有變更者，應於變更之日起十日內申報本會備查。
證券商國外分支機構於當地執行業務應遵守當地證券法令之規定。