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Securities firms which have been approved by the Competent Authority to establish domestic branch offices or simple branch offices and have been issued such permit certificates shall submit in duplicate the following documents to the TWSE for recordation before commencing business:
- Photocopy of permit certificate for establishment of branch office or simple branch office.
- List registration forms, and photocopies of National Identity Cards or household registration certificates of the managers of the branch office or simple branch office, and declaration that the person does not fall within any of the categories under Article 53 of the Securities and Exchange Act.
- List, registration forms, photocopies of National Identity Cards or household registration certificates of various levels of associated persons, and declaration that the person does not fall within any of the categories under Article 54 of the Securities and Exchange Act.
Where there are changes in the business location of a domestic branch office or simple branch office or its manager, within 5 days of such changes, three copies of the application for amendment registration, along with the relevant documentary evidence and registration fees for amendment, shall be sent to the TWSE for issuance of its opinion letter, and then transferred by the TWSE to the Competent Authority for its approval and registration.
Article 20, paragraph 2 of these Operating Rules shall apply to the business locations and facilities of the domestic branch office or simple branch office of a securities firm.
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