Regulations Governing Foreign Exchange Business of Securities Enterprises Article 62
A securities enterprise may engage in the following foreign exchange derivatives businesses without making an application:1.Combinations of foreign exchange derivatives not involving exchange rate and already approved by the Bank or reported to the Bank for record that are linked to the same underlying asset with the same risk and combined through the same transaction contract, but excluding complex high-risk foreign exchange derivatives transactions entered with customers other than professional institutional investors and high net worth corporate investors.2.Foreign exchange derivatives transactions undertaken as a customer for investing with its own funds or carrying out for hedging purposes with authorized banks that have been approved by the Bank to engage in foreign exchange derivatives business or foreign financial institutions.3.Domestic and foreign futures contracts not involving NTD exchange rate traded as a futures trader.To engage in any foreign exchange derivatives business other than those provided in the preceding paragraph, a securities enterprise shall apply to the Bank for approval or report to the Bank for record based on the following criteria:1.Application for approval before commencing:(1)First-time application for foreign exchange derivatives business.(2)Foreign exchange derivatives business not yet approved by the Bank or has been approved for less than six months, and foreign exchange derivatives linked thereof.(3)Foreign exchange derivatives business involving exchange rates.(4)The business of sales of foreign exchange derivatives products already approved by the Bank or reported to the Bank for record by the branch under the authorization of its head office.2.Reporting for record after commencing: Only for securities enterprises that have been approved to engage in any of the foreign exchange derivatives businesses.(1)Foreign exchange derivatives business approved by the Bank for over six months and not involving exchange rates.(2)Foreign exchange derivatives business provided to professional institutional investors and high net worth corporate investors not involving exchange rates and not yet approved by the Bank or approved by the Bank for less than six months, which should comply with the relevant rules of the competent authority.When a securities enterprise engages in business under this article with a professional institutional investor, if the professional institutional investor accepts trading orders, signing a trust agreement or discretionary investment services agreement, or offering privately placed funds, and carries out transactions provided in Item 2, Subparagraph 2 of the preceding paragraph as a professional institutional investor, the customer/trustor/mandatory or subscriber shall also be a professional institutional investor or high net worth corporate investor.
中文原文 證券業辦理外匯業務管理辦法第62條
證券業得不經申請逕行辦理下列外匯衍生性商品業務：
一、業經本行許可或函覆備查未涉及匯率之外匯衍生性商品，連結同一風險標的，透過相同交易契約之再行組合，但不含對專業機構投資人及高淨值投資法人以外之客戶辦理之複雜性高風險外匯衍生性商品。
二、因自有資金投資或避險之需求，以客戶身分與經本行許可辦理外匯衍生性商品業務之外匯指定銀行或國外金融機構承作之外匯衍生性商品交易。
三、以期貨交易人身分辦理未涉及新臺幣匯率之國內外期貨交易契約。
證券業辦理前項以外之外匯衍生性商品業務，應依下列類別，向本行申請許可或函報備查：
一、開辦前申請許可類：
（一）首次申請辦理外匯衍生性商品業務。
（二）尚未開放或開放未滿半年及與其連結之外匯衍生性商品業務。
（三）涉及匯率之外匯衍生性商品業務。
（四）總公司得授權其分公司辦理經本行許可或函覆備查之外匯衍生性商品銷售業務。
二、開辦後函報備查類：以經許可辦理任一項外匯衍生性商品業務之證券業為限：
（一）開放已滿半年且未涉及匯率之外匯衍生性商品業務。
（二）對專業機構投資人及高淨值投資法人辦理尚未開放或開放未滿半年且未涉及匯率，並符合其主管機關相關規定之外匯衍生性商品業務。
證券業辦理本條業務，其交易對象如係經營受託買賣、簽訂信託契約、全權委託契約或私募基金等業務，並以專業機構投資人名義進行前項第二款第二目交易者，其委託人或應募人亦應為專業機構投資人或高淨值投資法人。
一、業經本行許可或函覆備查未涉及匯率之外匯衍生性商品，連結同一風險標的，透過相同交易契約之再行組合，但不含對專業機構投資人及高淨值投資法人以外之客戶辦理之複雜性高風險外匯衍生性商品。
二、因自有資金投資或避險之需求，以客戶身分與經本行許可辦理外匯衍生性商品業務之外匯指定銀行或國外金融機構承作之外匯衍生性商品交易。
三、以期貨交易人身分辦理未涉及新臺幣匯率之國內外期貨交易契約。
證券業辦理前項以外之外匯衍生性商品業務，應依下列類別，向本行申請許可或函報備查：
一、開辦前申請許可類：
（一）首次申請辦理外匯衍生性商品業務。
（二）尚未開放或開放未滿半年及與其連結之外匯衍生性商品業務。
（三）涉及匯率之外匯衍生性商品業務。
（四）總公司得授權其分公司辦理經本行許可或函覆備查之外匯衍生性商品銷售業務。
二、開辦後函報備查類：以經許可辦理任一項外匯衍生性商品業務之證券業為限：
（一）開放已滿半年且未涉及匯率之外匯衍生性商品業務。
（二）對專業機構投資人及高淨值投資法人辦理尚未開放或開放未滿半年且未涉及匯率，並符合其主管機關相關規定之外匯衍生性商品業務。
證券業辦理本條業務，其交易對象如係經營受託買賣、簽訂信託契約、全權委託契約或私募基金等業務，並以專業機構投資人名義進行前項第二款第二目交易者，其委託人或應募人亦應為專業機構投資人或高淨值投資法人。