Regulations Governing Offshore Structured Products Article 20
The TFSR, in consultation with the trade association of the trustee or sub-distributor, will prescribe the review procedure and method, review criteria, review periods, review fees, handling of objections, information disclosure and other rules and submit it to the FSC for approval; the preceding provision applies to subsequent amendments of these rules.For the review of offshore structured products, a trustee or sub-distributor shall set up a product review team composed of at least the following personnel:1. One independent director or one director;2. Finance officer;3. Legal and compliance officer; and4. Risk management officer.Where the trustee or sub-distributor does not have directors, its responsible person in the Republic of China shall act as the member of the product review team specified in Subparagraph 1 of the preceding paragraph.To conduct the review specified in Paragraph 1 of the preceding article, the trade association of the trustee or sub-distributor may separately or jointly with other trade associations, set up a product review team composed of at least two experts/scholars in each field of finance, law and risk management.
中文原文 境外結構型商品管理規則第20條
境外結構型商品之審查程序、方式、審查基準、審查期限、審查費用、異議、資訊揭露與其他規範,由金融總會洽商受託或銷售機構所屬同業公會擬訂,報請本會核定;修正時,亦同。
受託或銷售機構審查境外結構型商品時,應組成商品審查小組,組成人員至少應包括:
一、獨立董事或董事一名。
二、財務主管。
三、法律遵循主管。
四、風險控管主管。
前項規定第一款之成員,於受託或銷售機構無董事者,由在中華民國境內負責人擔任之。
受託或銷售機構所屬各同業公會依前條第一項規定進行審查時,得分別或共同組成商品審查小組,其組成人員至少應包括財務、法律、風險控管之專家學者各二人。
受託或銷售機構審查境外結構型商品時,應組成商品審查小組,組成人員至少應包括:
一、獨立董事或董事一名。
二、財務主管。
三、法律遵循主管。
四、風險控管主管。
前項規定第一款之成員,於受託或銷售機構無董事者,由在中華民國境內負責人擔任之。
受託或銷售機構所屬各同業公會依前條第一項規定進行審查時,得分別或共同組成商品審查小組,其組成人員至少應包括財務、法律、風險控管之專家學者各二人。