Regulations Governing Foreign Exchange Business of Securities Enterprises Article 47
Only securities firms that are concurrently a securities underwriter, a securities dealer, and a securities broker provided under Article 16 of the “Securities and Exchange Act” may apply to engage in spot foreign exchange transaction business.A securities firm that intends to engage in spot foreign exchange transaction business shall apply to the Bank for approval by submitting the following documents:1.Documents provided under Article 7 herein;2.Description of operations, including business hours and cutoff time for accounting dates and ways to reconcile the “Daily Foreign Exchange Position Report” submitted to the Bank’s Department of Foreign Exchange pursuant to Paragraph 1 of Article 52 herein;3.Documents evidencing that the securities firm has been approved by the Bank to engage in any business under the subparagraphs other than Subparagraph 2 of Paragraph 1, Article 4 herein and having a solid record of conducting such business;4.The net worth shown in the latest CPA audited or certified financial statement meets the criteria prescribed by the FSC for a securities firm that applies for the setup of an OSU in Taiwan to engage in all of the businesses provided in the subparagraphs of Paragraph 1, Article 22-4 of the Offshore Banking Act;5.Documents evidencing compliance and sound operation: Free of sanction due to serious violation of rules during the preceding three years before application, or the securities enterprise with sanctioned violation has effected specific improvement and has satisfied the competent authority or the Bank; and6.Documents evidencing that its operations and auditing personnel meet the following qualification requirements:(1)An operations personnel must have at least three months of working experience in relevant foreign exchange business, or have completed at least 12 hours of foreign exchange regulations related courses (including regulations on foreign exchange business and reporting of foreign exchange receipts, disbursements or transactions by securities enterprises and foreign exchange risk management) given by domestic financial training institutions and received certificates therefor and also have at least 20 business days of practical training in relevant foreign exchange business at an authorized bank.(2)A controlling personnel must have at least six months of working experience in relevant foreign exchange business, or have attended courses provided in the preceding item and also have at least 40 business days of practical training in relevant foreign exchange business at an authorized bank.A securities firm that has been approved by the Bank to engage in spot transactions between foreign currencies may apply to the Bank for approval to expand the business to spot foreign exchange transactions involving NTD by submitting the following documents:1.A resolution of the board of directors resolving to apply for the business;2.A statement of regulatory compliance; and3.Documents provided in Subparagraphs 2 and 5 of the preceding paragraph.Changes to the description of operations mentioned in Subparagraph 2 of Paragraph 2 herein shall be reported to and agreed by the Bank in advance.The head office of a DSF that applies for its branches to engage in spot foreign exchange transaction business shall observe the following rules:1.The head office of a DSF shall apply the business after it has been approved by the Bank to engage in the business and has a solid record of conducting such business; and2.The head office shall apply to the Bank for approval by submitting a photocopy of the branch’s license and documents evidencing the qualifications of its operations and controlling personnel as provided in Subparagraph 6 of Paragraph 2 hereof.
中文原文 證券業辦理外匯業務管理辦法第47條
證券商同時為證券交易法第十六條規定之證券承銷商、證券自營商及證券經紀商者，始得申辦即期外匯交易業務。
證券商辦理即期外匯交易業務，應檢附下列文件，向本行申請許可：
一、第七條之書件。
二、作業說明，其內容應包括營業時間與帳務處理日期之劃分時點，及第五十二條第一項填報本行外匯局「外匯部位日報表」之勾稽方式。
三、經本行許可辦理第四條第一項第二款以外各款業務之一，並有實績之證明文件。
四、達金管會訂定證券商申請在我國設立國際證券業務分公司，辦理國際金融業務條例第二十二之四第一項各款業務者，其最近期經會計師查核簽證或核閱之財務報告淨值標準。
五、守法、健全經營：申請前三年內無重大違規遭受處分紀錄，或受處分而其違法情事已具體改善並經主管機關或本行認可之證明文件。
六、經辦人員與覆核人員已具備下列資格之證明文件：
（一）經辦人員須有三個月以上相關外匯業務經歷，或參加國內金融訓練機構所舉辦之外匯法規相關課程十二小時以上且取得合格證書，課程內容須包括證券業辦理外匯業務與外匯收支或交易申報相關法規及外匯風險管理，並在外匯指定銀行實習二十個營業日以上相關外匯業務經歷。
（二）覆核人員須有六個月以上相關外匯業務經歷，或參加符合前目規定課程並在外匯指定銀行實習四十個營業日以上相關外匯業務經歷。
證券商於本辦法修正施行前，已經本行許可辦理外幣間即期交易業務者，增加辦理涉及新臺幣之即期外匯交易，僅需檢附下列文件，向本行申請許可：
一、董事會決議辦理該項業務議事錄。
二、法規遵循聲明書。
三、前項第二款及第五款文件。
第二項第二款作業說明異動，應事先報經本行同意。
外匯證券商之分公司申請辦理即期外匯交易業務，應依下列規定辦理：
一、於其總公司經本行許可辦理該項業務具有實績者，始得申請。
二、由總公司備文檢附該分公司許可證照影本及符合第二項第六款之經辦與覆核人員資格文件向本行申請。
證券商辦理即期外匯交易業務，應檢附下列文件，向本行申請許可：
一、第七條之書件。
二、作業說明，其內容應包括營業時間與帳務處理日期之劃分時點，及第五十二條第一項填報本行外匯局「外匯部位日報表」之勾稽方式。
三、經本行許可辦理第四條第一項第二款以外各款業務之一，並有實績之證明文件。
四、達金管會訂定證券商申請在我國設立國際證券業務分公司，辦理國際金融業務條例第二十二之四第一項各款業務者，其最近期經會計師查核簽證或核閱之財務報告淨值標準。
五、守法、健全經營：申請前三年內無重大違規遭受處分紀錄，或受處分而其違法情事已具體改善並經主管機關或本行認可之證明文件。
六、經辦人員與覆核人員已具備下列資格之證明文件：
（一）經辦人員須有三個月以上相關外匯業務經歷，或參加國內金融訓練機構所舉辦之外匯法規相關課程十二小時以上且取得合格證書，課程內容須包括證券業辦理外匯業務與外匯收支或交易申報相關法規及外匯風險管理，並在外匯指定銀行實習二十個營業日以上相關外匯業務經歷。
（二）覆核人員須有六個月以上相關外匯業務經歷，或參加符合前目規定課程並在外匯指定銀行實習四十個營業日以上相關外匯業務經歷。
證券商於本辦法修正施行前，已經本行許可辦理外幣間即期交易業務者，增加辦理涉及新臺幣之即期外匯交易，僅需檢附下列文件，向本行申請許可：
一、董事會決議辦理該項業務議事錄。
二、法規遵循聲明書。
三、前項第二款及第五款文件。
第二項第二款作業說明異動，應事先報經本行同意。
外匯證券商之分公司申請辦理即期外匯交易業務，應依下列規定辦理：
一、於其總公司經本行許可辦理該項業務具有實績者，始得申請。
二、由總公司備文檢附該分公司許可證照影本及符合第二項第六款之經辦與覆核人員資格文件向本行申請。