Regulations Governing the Banking Activity and the Establishment and the Investment by Financial Institution Between the Taiwan Area and the Mainland Area Article 63
A Mainland commercial bank or Mainland-funded bank intending to establish a branch in Taiwan Area shall submit the following documents to the Competent Authority for approval:1. Application;2. A feasibility study;3. Particulars of the bank;4. The bank’s ranking among the world’s leading banks by capital or assets for the year before application;5. A self-assessment regarding the bank’s compliance with laws and regulations and the integrity of its business operations, as well as an explanation of any regulatory violations, frauds, or disciplinary actions imposed on the bank within the last five years;6. The internal control and audit systems, operations management, and performance evaluation method for the branch to be established in Taiwan Area;7. A document issued by the financial authority at the place of registration approving the establishment of a branch in Taiwan Area;8. A document issued by the financial authority at the place of registration confirming the soundness of the bank’s business and financial conditions;9. A letter of undertaking issued by the head office of the bank promising to provide necessary (contingent) liquidity and financial support to branches in Taiwan Area;10. The business plan of the branch;11. The resume and relevant evidentiary documents of the proposed manager for the branch in Taiwan Area;12. The minutes of the board resolution approving the filing of an application to establish a branch in Taiwan Area;13. A calculation worksheet for the bank’s ratio of equity capital to risk-weighted assets, non-performing loan ratio and loan loss coverage ratio for the latest fiscal half year certified by a practicing accountant at the place of registration;14. A power of attorney issued by the responsible person of the bank authorizing a lawyer or certified public accountant to file the application;15. The CPA-certified income statements and balance sheets of the bank for the last three years;16. Documentation proving the due incorporation and existence of the bank as a legal entity and the banking license issued by the financial regulator at the place of registration;17. The bank’s articles of incorporation;18. A power of attorney of designating an agent for litigious and non-litigious matters in Taiwan Area;19. A declaration of the agent for litigious and non-litigious matters in Taiwan Area; and20. Such other information or documents as may be required by the Competent Authority.The proposed branch manager mentioned in the preceding paragraph should have good moral character and professional leadership ability, is free of the situations set forth in Article 3 of the Regulations Governing Qualification Requirements, and complies with the provisions in Paragraph 1, Article 3-1 and Paragraph 1, Article 5 of the same Regulations.Documents mentioned in Subparagraphs 7, 8 to 11, and 18 in Paragraph 1 shall be certified by a notary public or a notarization institution at the bank’s place of registration. In addition, documents produced in a third area must be authenticated by a Overseas mission; documents produced in Mainland Area must be authenticated or verified by the institution set up or designated, or by the private organization entrusted by the Executive Yuan.All documents referred to in Paragraph 1 hereof must be attached with a traditional Chinese counterpart.
中文原文 臺灣地區與大陸地區金融業務往來及投資許可管理辦法第63條
大陸地區商業銀行或陸資銀行在臺灣地區設立分行，應檢附下列書件，向主管機關申請許可：
一、申請書。
二、可行性分析。
三、銀行基本資料。
四、申請前一年度在全世界銀行資本或資產之排名。
五、業務經營守法性及健全性自我評估分析，包括最近五年內是否有違規、弊案或受處分等情事之說明。
六、對臺灣地區分行內部控制與稽核制度、營運管理及績效考核規定。
七、登記地金融主管機關同意其在臺灣地區設立分行之文件。
八、登記地金融主管機關所出具證明該銀行財務業務健全之文件。
九、總行承諾提供臺灣地區分行必要（緊急）之流動性及財務支援之內容。
十、分行之營業計畫書。
十一、擬指派擔任在臺灣地區之分行經理人履歷及相關證明文件。
十二、董事會對於申請許可在臺灣地區設立分行之決議錄。
十三、登記地執業會計師簽證之有關該行最近半年度自有資本與風險性資產比率、逾期放款比率及備抵呆帳覆蓋率計算表。
十四、委託律師或會計師申請者，該銀行負責人出具之委託書。
十五、最近三年經會計師查核簽證之資產負債表及損益表。
十六、法人資格證明文件及經登記地金融主管機關核發之銀行許可證照。
十七、公司章程。
十八、為指定在臺灣地區之訴訟及非訴訟代理人所簽發之授權書。
十九、在臺灣地區訴訟及非訴訟代理人聲明書。
二十、其他主管機關規定應提出之資料或文件。
前項擔任分行經理人員應具備良好之品德操守及專業領導能力，且無資格條件準則第三條所列各款情事，並應符合資格條件準則第三條之一第三項及第五條第一項規定。
第一項第七款、第八款及第十一款至第十八款規定之書件除須經登記地公證人或公證機構認證外，其屬第三地區製作之書件者，並須經我國駐外館處予以驗證；其屬大陸地區製作之書件者，須經行政院設立或指定之機構或委託之民間團體予以驗證或查證。
第一項各款所定書件，均須附具正體中文本。
一、申請書。
二、可行性分析。
三、銀行基本資料。
四、申請前一年度在全世界銀行資本或資產之排名。
五、業務經營守法性及健全性自我評估分析，包括最近五年內是否有違規、弊案或受處分等情事之說明。
六、對臺灣地區分行內部控制與稽核制度、營運管理及績效考核規定。
七、登記地金融主管機關同意其在臺灣地區設立分行之文件。
八、登記地金融主管機關所出具證明該銀行財務業務健全之文件。
九、總行承諾提供臺灣地區分行必要（緊急）之流動性及財務支援之內容。
十、分行之營業計畫書。
十一、擬指派擔任在臺灣地區之分行經理人履歷及相關證明文件。
十二、董事會對於申請許可在臺灣地區設立分行之決議錄。
十三、登記地執業會計師簽證之有關該行最近半年度自有資本與風險性資產比率、逾期放款比率及備抵呆帳覆蓋率計算表。
十四、委託律師或會計師申請者，該銀行負責人出具之委託書。
十五、最近三年經會計師查核簽證之資產負債表及損益表。
十六、法人資格證明文件及經登記地金融主管機關核發之銀行許可證照。
十七、公司章程。
十八、為指定在臺灣地區之訴訟及非訴訟代理人所簽發之授權書。
十九、在臺灣地區訴訟及非訴訟代理人聲明書。
二十、其他主管機關規定應提出之資料或文件。
前項擔任分行經理人員應具備良好之品德操守及專業領導能力，且無資格條件準則第三條所列各款情事，並應符合資格條件準則第三條之一第三項及第五條第一項規定。
第一項第七款、第八款及第十一款至第十八款規定之書件除須經登記地公證人或公證機構認證外，其屬第三地區製作之書件者，並須經我國駐外館處予以驗證；其屬大陸地區製作之書件者，須經行政院設立或指定之機構或委託之民間團體予以驗證或查證。
第一項各款所定書件，均須附具正體中文本。