| Title： |
Operating Rules of the Taiwan Stock Exchange Corporation(2009.07.28) |
| Date： |
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Article 14
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Securities firms participating in the Exchange shall complete and submit three copies each of the application, executed market usage contract, and the following documents to the TWSE:
1. Copy of securities firm permit.
2. Copy of evidentiary documentation following company registration (or amendment registration) (if the applicant is not organized as a company and is operated on a concurrent basis by a financial institution, submit evidentiary documentation of the approval for its establishment).
3. Articles of incorporation, business plan, business bylaws, and shareholders list and their respective shareholdings.
4. List of directors, supervisors, and managers, registration forms of same, copy of household registry or National Identity Card, and declaration that declaring that the person does not fall within any of the categories under Article 53 of the Securities and Exchange Act.
5. List of various levels of associated persons, registration form of same, copy of household registry or National Identity Card, and declaration that declaring that the person does not fall within any of the categories under Article 54 of the Securities and Exchange Act.
6. Financial reports audited and certified by a certified public accountant (CPA).
The format of the registration forms referred to in subparagraphs 4 and 5 of the preceding paragraph shall be prescribed by the Competent Authority.
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Article 77-4
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To invest in domestic securities, onshore overseas Chinese and foreign nationals shall submit the relevant documents to a securities broker to carry out registration with the TWSE and obtain an identification number and submit the below-listed documents to the securities broker for purposes of opening an account for securities trading.
1. Overseas Chinese and foreign natural persons: passport and overseas Chinese identity certificate (or alien resident certificate).
2. Foreign institutional investor: Ministry of Economic Affairs Recognition Certificate, document evidencing company registration, and National Identity Card (or Alien Resident Certificate or passport) of the responsible person.
Offshore overseas Chinese and foreign nationals shall carry out registration with the TWSE through their designated domestic agent or representative and obtain an identification number and submit photocopies of the domestic agent or representative's national ID card or alien resident certificate or a photocopy of the evidentiary documentation following company registration (or amendment registration) to the securities broker for purposes of opening an account for securities trading (provided, if such documents, for the same domestic agent or representative and having identical content, have already been submitted to and placed on file by the broker, they need not be resubmitted).
If the domestic agent under this Article is a bank approved by the Banking Bureau, Financial Supervisory Commission, Executive Yuan, to operate custodial business and it and the securities broker handling account opening both have network authentication mechanisms, the documents for account opening may be transmitted electronically to open the account.
If any of the circumstances in Article 11 of the Regulations Governing Investment in Securities by Overseas Chinese and Foreign Nationals is present with respect to a registration by an overseas Chinese or foreign national, the TWSE shall not carry out registration; if registration has already been performed, the registration shall be cancelled, and the securities broker that has opened the account shall be notified that it may not accept purchase orders. After the balance of the account has been liquidated by the account holder, the securities broker shall cancel the account and notify the TWSE of the circumstances of the closure of the case.
The registration operations of this Article shall be handled pursuant to the Operation Directions for Registration Applications by Overseas Chinese, Foreign Nationals, and Mainland China Investors to Invest in Domestic Securities or Engage in Domestic Futures Trading submitted by the TWSE to the Competent Authority for approval.
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