主 旨：為簡化外國專業投資機構申請來華投資之資格證明文件暨各項聲明書，請
依說明事項辦理，請 查照。
說 明：一 依「華僑及外國人投資證券管理辦法」第十條第三項第四款辦理。
二 外國專業投資機構申請來華投資資格證明文件之驗證，得依左列方式
擇一辦理：
(一) 經當地國我駐外單位驗證，或
(二) 由當地法院或政府機構出具證明，或
(三) 經當地國法定公證機關驗證。
三 外國專業投資機構申請來華投資所需檢附之各項聲明書，以將各項聲
明書內容彙載於一份聲明書簽署之方式辦理為原則，惟如因個別情況
有特殊需要，亦得分別簽署各項聲明書。
四 檢附中、英文聲明書範例各乙份，請參考，惟本會基於審查需要，得
要求提供其他補充聲明或文件。
五 境內、外華僑及外國人申請投資國內證券所須檢送之文件及聲明書參
照以上規定辦理。
附 件：外國專業投資機構投資聲明書 (譯本)
日期：
致：中華民國財政部證券暨期貨管理委員會
中華民國中央銀行外匯局
(外資名稱) (下稱「申請人」) 擬依「華僑及外國人投資證券管理辦法
」 (以下稱「管理辦法」) 向 貴會／行申請投資 貴國證券市場之有價
證券，茲依管理辦法規定，聲明如下：
1 申請人係以____________ (以下擇一填寫：銀行、保險公司、基金管理
機構、證券商或其他投資機構) 類之外國專業投資機構身分，申請投資
貴國證券市場之有價證券，且申請人未以其他外國專業投資機構 (含分
戶) 、境外華僑及外國人暨境內華僑及外國人身分從事上述投資。
2 申請人不會將投資 貴國有價證券之核准額度提供予申請人之簽約客戶
、所管理之基金、持股百分之百子公司以外之其他投資人使用。
3 申請人擬匯入投資 貴國有價證券之資金非來自大陸地區。
4 申請人擬匯入投資 貴國有價證券之資金非來自大陸地區及臺灣地區 (
本項適用於申請人為證券商或本國證券投資信託事業於海外轉投資百分
之五十以上股權之基金管理子公司) 。
5 申請人投資之資金非來自自有資金 (本項適用於申請人為本國證券投資
信託事業於海外轉投資百分之五十以上股權之基金管理子公司) 。
6 申請人本次申請投資 貴國有價證券金額計__________美元，資金主要
來源及比例為 (依地區分述) ：____ ____％，____ ____％，____
____％、、、 (本項適用於申請人為證券商) 。
7 申請人已依規定申報本身與相關機構以中華民國公開發行公司股票為標
的從事衍生性商品交易之明細資料，或受衍生性商品交易人委託代為持
有股票部位明細資料，嗣後若以中華民國公開發行公司股票為標的從事
衍生性商品交易，或受衍生性商品交易人之委託代為持有股票部位時，
將於發行或交易日起五個營業日內向 貴會申報 (本項適用於申請時已
有從事上述衍生性商品交易者) 。
8 申請人與相關機構未以中華民國公開發行公司股票為標的從事衍生性商
品交易，或受衍生性商品交易人委託代為持有股票部位，嗣後若以中華
民國公開發行公司股票為標的從事衍生性商品交易，或受衍生性商品交
易人之委託代為持有股票部位時，將於發行或交易日起五個營業日向
貴會申報 (本項適用於申請時尚未從事上述衍生性商品交易者) 。
為昭信守，本文件自__________起生效
申請人：________________________
獲授權人姓名及簽名：____________
職稱：__________________________
Declaration for Qualified Foreign Institutional Investor (QFII)
Application
Date: / /
To: The Securities and Futures Commission, the Ministry of Fina-
nce The Foreign Exchange Department, the Central Bank of Ch-
ina
We, (name of the Applicant) , Wish to apply for your Commission-
's permission to invest directly in the ROC securities markets.
In accordance with the Regulation Governing Securities Investme-
nt by Overseas Chinese and Foreign Noationals (hereinafter refe-
rred to as "the Regulation"), We hereby declare the following:
1) We, as a(n)________________(select the appropriate institute
type from the followings: bank, insurance company, fund mana-
gement institution, securities firm or other investment inst-
itution) wish to apply for permission to invest directly in
the ROC securities markets only in the capactity of Qualified
Foreign Institutional Investor (QFII). We have not invested
in the ROC securities markets in the capacities of another
QFII or a sub-account of other QFII, or a General Foreign
Institutional Investor (GFII).
2) We will not transfer or offer our investment quota granted by
the SFC to any investor other than our contracted clients,
funds under our management or our wholly owned subsidiaries.
3) Our investment capital in Taiwan is not and shall not be fun-
ded from Mainland China.
4) Our investment capital in Taiwan is not and shall not be fun-
ded from Mainland China and Taiwan (applicable where the App-
licant is a securities firm or overseas fund management
institution and subsidiary of a Taiwan-based securities
investment trust enterprise that owns more than 50% of the
shares of the Applicant).
5) None of the funds to be invested in the ROC securities marke-
ts are from our own funds (applicable where the Applicant is
an overseas fund management institution and subsidiary of a
Taiwan-based securities investment trust enterprise that owns
more than 50% of the shares of the Applicant).
6) The amount which we apply for investment in the ROC securiti-
es markets is US$ , and the sources therefrom and pe-
rcentage thereof are as follows (by area):____ ____%,____
____%,____ ____%,____ ____% (applicable where the Applican-
t is a securities firm).
7) We have, in accordance with Regulation, reported the detailed
information regarding the derivative transactions which we
and our related parties have engaged in and the underlying
securities are stocks of publicly held companies in the Repu-
blic of China. In the event that we and our related parties
shall in the future engage in the trading of any derivative
product, the underlying securities of which are stocks of pu-
blicly held companies in the Republic of China, or hold any
stock position on behalf of a person trading in the said der-
ivative products, we shall report to the SFC within five bus-
iness days from the date of issue or transaction (applicable
where either the Applicant or any of its related parties has
already engaged in the aforesaid trading prior to the time of
application).
8) We and our related parties have not engaged in trading of de-
rivatives, of which the underlying securities are stocks of
publicly held companies in the Republic of China, nor have we
and our related parties held any stock position on behalf of
a person trading in the said derivative products. In the ev-
ent that we and our related parties shall in the future enga-
ge in the trading of any derivative product, the underlying
securities of which are stocks of publicly held companies in
the Republic of China, or hold any stock position on behalf
of a person trading in the said derivative products, we shall
report to the SFC within five business days from the date of
issue or transaction (applicable where either the Applicant
or any of its related parties has not engaged in the aforesa-
id trading prior to the time of application).
In witness whereof, we have caused this instrument to be execut-
ed on____________.
(Name of the Applicant):______________
By:___________________________________
Name:
Title:
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