Regulations Governing Foreign Exchange Business of Securities Enterprises Article 36
A securities enterprise that intends to act as the master agent of an offshore fund institution in the offering and sale of its funds in Taiwan (hereinafter referred to as the “offshore fund master agency business”) shall apply to the Bank for approval by submitting documents provided in Article 7 herein, and in addition, the following documents:1.A photocopy of document evidencing the approval from or effective registration with the FSC for offering and sale of offshore funds in Taiwan;2.Business plan (including business profile, operating process and receipt/payment procedure); and3.List of sub-distributors and a statement supporting the qualifications of those sub-distributors.When a securities enterprise acts as the master agent of an offshore ETF that is listed in NTD, the securities enterprise shall apply to the Bank for approval on a case-by-case basis.
中文原文 證券業辦理外匯業務管理辦法第36條
證券業擔任境外基金機構之總代理人，在國內代理境外基金之募集及銷售業務（以下簡稱境外基金總代理業務），除備文檢附第七條之書件外，並應檢附下列文件，向本行申請許可：
一、金管會核准或申報生效在國內募集及銷售境外基金文件影本。
二、營業計畫書（包括業務簡介、作業流程及款項收付程序）。
三、銷售機構名單及其符合資格條件之聲明書。
證券業擔任以新臺幣掛牌之境外指數股票型基金總代理人者，應逐檔向本行申請許可。
一、金管會核准或申報生效在國內募集及銷售境外基金文件影本。
二、營業計畫書（包括業務簡介、作業流程及款項收付程序）。
三、銷售機構名單及其符合資格條件之聲明書。
證券業擔任以新臺幣掛牌之境外指數股票型基金總代理人者，應逐檔向本行申請許可。