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Article NO. Content

Title:

Standards Governing the Establishment of Securities Firms  CH

Amended Date: 2021.05.06 
Article 33-2     In filing an application with the FSC for the approval to establish a representative office within the territory of the ROC, a foreign securities firm shall submit all of the following documentation:
  1. Application for the establishment of representative offices.
  2. The securities business license issued by the securities regulatory agency or its equivalent agency of the home country and documents certifying compliance with the qualification requirements stipulated under Article 33-1.
  3. A certified copy of its articles of incorporation or equivalent documentation.
  4. A certified copy of the minutes of the board of directors meeting at which the resolution to establish a representative office in the ROC was made.
  5. Balance sheets audited and attested by CPAs for the most recent 3 years.
  6. A certified copy of the power of attorney designating the representative.
  7. A resume of the authorized representative.
  8. A certified copy of the power of attorney designating the agent for the purpose of applying to the FSC for establishment of representative office.
  9. Other documents that the FSC may so require.
    All the aforesaid documentation in foreign language shall be accompanied by a Chinese translation.