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Securities firms which have been approved by the Competent Authority to establish domestic 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.
- List of directors, supervisors, and managers, registration forms of same, photocopy of National Identity Card or household registration certificate, and declaration that declaring that the person does not fall within any of the categories under Article 53 of the Securities and Exchange Act.
- List of various levels of associated persons, registration form of same, photocopy of National Identity Card or household registration certificate, 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 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 of a securities firm.
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