Regulations Governing The Establishment Criteria and Administration of The Industrial Bank Article 11
An industrial bank cannot invest in securities of Subparagraphs 2 to 5, and Subparagraphs 9 and 10 of Paragraph 1 of the preceding Article, which are issued by the company where the bank's responsible person serves as a director, supervisor or manager. This Paragraph however does not apply to the following circumstances: 1.Bank debentures (including subordinated bank debentures).2.Corporate bonds guaranteed by other banks.3.Short-term transactions instruments which are guaranteed or accepted by other banks, and are underwritten or traded by other bills houses.4.Convertible deposits issued by banks.5.Beneficiary securities or asset-backed securities - the maximum period of one year is given to the issuance of these securities6.Stocks, certificates of entitlement to new shares and certificates of entitlement to new share from convertible bond issued by a company where, due to the industrial bank's investment relationship mentioned in Article 8, the Commission approved to appoint the industrial bank's responsible person to service as a director, supervisor or manager.7.Exchange-traded funds issued pursuant to the Regulations Governing Securities Investment Trust Funds.
中文原文 工業銀行設立及管理辦法第11條
工業銀行不得投資於該銀行負責人擔任董事、監察人或經理人之公司所發行前條第一項第二款、第三款、第四款、第五款、第九款及第十款之有價證券。
但下列情形不在此限：
一、金融債券（含次順位金融債券）。
二、經其他銀行保證之公司債。
三、經其他銀行保證或承兌之短期票券且經其他票券商承銷或買賣者。
四、銀行發行之可轉讓定存單。
五、發行期限在一年以內之受益證券或資產基礎證券。
六、工業銀行因第八條規定之投資關係，經本會核准派任其負責人擔任董事、監察人或經理人之公司所發行之股票、新股權利證書及債券換股權利證書。
七、依據證券投資信託基金管理辦法規定所發行之指數股票型基金。
但下列情形不在此限：
一、金融債券（含次順位金融債券）。
二、經其他銀行保證之公司債。
三、經其他銀行保證或承兌之短期票券且經其他票券商承銷或買賣者。
四、銀行發行之可轉讓定存單。
五、發行期限在一年以內之受益證券或資產基礎證券。
六、工業銀行因第八條規定之投資關係，經本會核准派任其負責人擔任董事、監察人或經理人之公司所發行之股票、新股權利證書及債券換股權利證書。
七、依據證券投資信託基金管理辦法規定所發行之指數股票型基金。