Regulations Governing Foreign Exchange Business of Securities Enterprises Article 43
Before establishing a foreign currency denominated collective investment trust account for the first time, a securities enterprise concurrently conducting trust business that engages in foreign currency denominated collective investment trust account business shall apply to the Bank for approval by submitting documents provided in Article 7 herein, and in addition, the following documents:1.A FSC approval letter, but exempted for the collective investment trust accounts that accept funds from professional investors only, provided it is stated so in the application letter and reported to the FSC for record in accordance with the “Regulations Governing Management and Utilization of Collective Investment Trust Funds”;2.A management and utilization plan for the foreign currency denominated collective investment trust account;3.The risk level of the collective investment trust account and the risk tolerance level of investors who could bear the risk of the account, but exempted for the collective investment trust accounts that accept funds from professional investors only, provided it is stated so in the application letter; and4.Terms and conditions of the collective investment trust account agreement.A securities enterprise establishing a NTD denominated collective investment trust account that involves foreign exchange settlement against NTD shall apply to the Bank for permission to carry out foreign exchange settlement by submitting documents provided in Subparagraphs 1 and 4 of the preceding paragraph, a declaration statement and an account asset schedule.
中文原文 證券業辦理外匯業務管理辦法第43條
證券業兼營信託業辦理外幣計價之信託資金集合管理運用帳戶業務者，於首次設置外幣計價之信託資金集合管理運用帳戶前，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、金管會核准函，但限專業投資人委託投資者免附，惟應於申請函文敘明，並應依信託資金集合管理運用管理辦法規定向金管會申報備查。
二、外幣計價集合管理運用帳戶之管理及運用計畫。
三、集合管理運用帳戶之風險等級，及足以承擔該帳戶風險之投資人風險承受等級，但限專業投資人委託投資者免附，惟應於申請函文敘明。
四、集合管理運用帳戶約定條款。
證券業設置新臺幣計價之信託資金集合管理運用帳戶，涉及新臺幣結匯事宜時，應檢附前項第一款及第四款文件、申報書及帳戶資產明細向本行申請結匯許可。
一、金管會核准函，但限專業投資人委託投資者免附，惟應於申請函文敘明，並應依信託資金集合管理運用管理辦法規定向金管會申報備查。
二、外幣計價集合管理運用帳戶之管理及運用計畫。
三、集合管理運用帳戶之風險等級，及足以承擔該帳戶風險之投資人風險承受等級，但限專業投資人委託投資者免附，惟應於申請函文敘明。
四、集合管理運用帳戶約定條款。
證券業設置新臺幣計價之信託資金集合管理運用帳戶，涉及新臺幣結匯事宜時，應檢附前項第一款及第四款文件、申報書及帳戶資產明細向本行申請結匯許可。