主 旨：修正「外國專業投資機構 (初次、再次) 申請投資有價證券申請書」 (中
英文對照格式) 各乙份，嗣後申請投資國內證券之申請書附件免再檢附中
文譯文，惟所附文件以英文版本為限，請依所附申請書併其他相關附件提
出申請，請 查照。
說 明：依據「華僑及外國人投資證券管理辦法」第十條規定辦理。
附件 一：
外國專業投資機構初次申請投資有價證券申請書
APPLICATION FORM FOR QUALIFIED FOREIGN INSTITUTIONAL INVESTORS (QFII)
TO INVEST IN ROC SECURITIES MARKETS
受文者：財政部證券暨期貨管理委員會
To :Securities and Futures Commission, Ministry of Finance
主旨：為申請投資中華民國國內有價證券，依據華僑及外國人投資證券管理辦法第十
條規定，檢具下列書件一份申請許可，請查 照。
Subject :To apply for the approval to make investment in the ROC
securities markets pursuant to Article 10 of the Regulations
Governing Securities Investment by Overseas Chinese and Foreign
Nationals. Enclosed for review is a copy of the attached
documents.
┌───────────┬─────────┬──────────────
│外國專業投資機構名稱 │中文： │機構國籍及機構所地地
│Name of the Applicant │English： │Nationality and Location of
│ │ ├──────────────
│ │ │申請投資額度
│ │ │Applying amount for Investme
├───────────┼─────────┼───────┬──────
│指定保管機構名稱 │中文： │右欄限身分 │截止申請
│Name of the Custodian │English： │轉換者填寫 │日正
│Bank │ │Columns to │As of this
│ │ │the Right are │Application
│ │ │applicable │Date
│ │ │only for │
│ │ │transfer from │
│ │ │GFⅡ to QFⅡ ├──────
│ │ │status │本次申請總投
│ │ │ │this applica
│ │ │ │(US$) availa
├───────────┼─────────┼───────┴──────
│會計年度起迄日期 │自 至 │是否申請開立分戶
│Fiscal Year │From To │Application for separate sub
├───────────┼─────────┴──────────────
│申請日期 │中華民國 年 月 日
│Application Date │ Year Month Date
├───────────┼────────────────────────
│附件 │1 代理人授權書或代表人指派書 Power of Attorney
│Attachments │2 符合證券暨期貨管理委員會所規定資格條件之證明文
│ │ the qualification requirements set by the SFC
│ │3 保管契約副本 Copy of Custodian Agreement (Tai
│ │4 保管機構於台灣集中保管公司完成開戶之資料 (首次
│ │ the custodian at the Taiwan Securities Central
│ │ engage in custodian business first time)
│ │5 聲明書－無中國大陸地區資金聲明書、無額度轉讓聲
│ │ 屬證券商應檢附) Combined Declaration Letter:
│ │ transfer its approved investment quota to any
│ │ there exists no funds from the area of Mainlan
│ │ single investment status; that there exists n
│ │ is a security firm).
│ │6 外國專業投資機構申請投資國內證券案件審查表 (保
│ │ Reviewing and checking list filled out by the
│ │7 證券暨期貨管理委員會規定之其他文件 Other docum
├───────────┴────────────────────────
│申請人 Applicant :
│代理人 Agent : 代表人 Representative :
│申請代理人 Application Handling Agent: (代理人與申請代理人不同時適用 app
│ the applicant's local agent)
│
│ (聯絡人 Contact person : 電話 Tel :
└────────────────────────────────────
註 Note ：如申請開立分戶者，應檢附申請開戶清單及分戶與申請者間關係證明文件
accounts, a list of the separate sub-accounts and the documents
account with the applicant shall be attached.
───────────────┬──────────┐
│ │
Head-Office of the Applicant │ │
───────────────┼──────────┤
│ │
nt (US$) │ │
┬──────────────┼──────────┤
│已匯入金額 │ │
│Net Remitted Amount (US$) │ │
├──────────────┼──────────┤
│可再匯入金額 │ │
│Amount of investment (US$) │ │
│avaliable for remitting │ │
│inward │ │
┴──────────────┼──────────┤
資額度後可再匯入金額 After │ │
tion, the amount of investment│ │
ble for remitting inward │ │
───────────┬───┴──┬───────┤
│ 是 │ 否 │
-account │ Yes □ │ No □ │
───────────┴──────┴───────┤
│
│
──────────────────────────┤
to Agent or Letter of Appointment to Representative │
件 Documents showing that the applicant meets with │
│
wan Rider) │
辦理保管業務者適用) The opening account document of │
Depository Co., Ltd.(Only applicable to those who │
│
明書、投資身分選擇之聲明書、無來自國內資金聲明書 (如│
Statement declaring that the applicant will not │
investors other than its contracted clients; that │
d China; that application and investment under │
o funds from Taiwan (applicable where the Applicant │
│
管機構或申請代理人代為審核所送表件是否符合規定) │
agent or custodian. │
ents requested by the SFC. │
──────────────────────────┤
│
簽名或蓋章 (Signature or Chop) │
licable where the application handling agent is not │
│
│
) │
──────────────────────────┘
In case the applicant applies for separate sub-
showing the relationship between each of the separate
附件 二：
外國專業投資機構初次申請投資有價證券申請書
APPLICATION FORM FOR QUALIFIED FOREIGN INSTITUTIONAL INVESTORS (QFII)
TO INVEST IN ROC SECURITIES MARKETS
受文者：財政部證券暨期貨管理委員會
To :Securities and Futures Commission, Ministry of Finance
主旨：為申請投資中華民國國內有價證券，依據華僑及外國人投資證券管理辦法第十
條規定，檢具下列書件一份申請許可，請查 照。
Subject :To apply for the approval to make investment in the ROC
securities markets pursuant to Article 10 of the Regulations
Governing Securities Investment by Overseas Chinese and Foreign
Nationals. Enclosed for review is a copy of the attached
documents.
┌───────────┬─────────┬──────────────
│外國專業投資機構名稱 │中文： │機構國籍及機構所地地
│Name of the Applicant │English： │Nationality and Location of
│ │ │of the Applicant
│ │ ├──────────────
│ │ │申請投資額度
│ │ │Applying amount for Investme
├───────────┼─────────┼──────┬───────
│指定保管機構名稱 │中文： │截止申請 │已匯入金額
│Name of the Custodian │English： │日正 │Net Remitted A
│Bank │ │As of this ├───────
│ │ │Application │可再匯入金額
│ │ │Date │Amount of inve
│ │ │ │avaliable for
│ │ │ │inward
│ │ ├──────┴───────
│ │ │本次申請總投資額度後可再匯入
│ │ │this application, the amount
│ │ │(US$) available for remittin
├───────────┼─────────┼──────────────
│會計年度起迄日期 │自 至 │是否申請開立分戶
│Fiscal Year │From To │Application for separate sub
├───────────┼─────────┴──────────────
│申請日期 │中華民國 年 月 日
│Application Date │ Year Month Date
├───────────┼────────────────────────
│附件 │1 代理人授權書或代表人指派書 Power of Attorney
│Attachments │2 符合證券暨期貨管理委員會所規定資格條件之證明文
│ │ the qualification requirements set by the SFC
│ │3 保管契約副本 Copy of Custodian Agreement (Tai
│ │4 保管機構於台灣集中保管公司完成開戶之資料 (首次
│ │ the custodian at the Taiwan Securities Central
│ │ engage in custodian business first time)
│ │5 聲明書－無中國大陸地區資金聲明書、無額度轉讓聲
│ │ 屬證券商應檢附) Combined Declaration Letter:
│ │ transfer its approved investment quota to any
│ │ there exists no funds from the area of Mainlan
│ │ single investment status; that there exists n
│ │ is a security firm).
│ │6 外國專業投資機構申請投資國內證券案件審查表 (保
│ │ Reviewing and checking list filled out by the
│ │7 證券暨期貨管理委員會規定之其他文件 Other docum
├───────────┴────────────────────────
│申請人 Applicant :
│代理人 Agent : 代表人 Representative :
│申請代理人 Application Handling Agent: (代理人與申請代理人不同時適用 app
│ the applicant's local agent)
│
│ (聯絡人 Contact person : 電話 Tel :
└────────────────────────────────────
註 Note ：如申請開立分戶者，應檢附申請開戶清單及分戶與申請者間關係證明文件
accounts, a list of the separate sub-accounts and the documents
account with the applicant shall be attached.
───────┬──────────────────┐
│ │
Head-Office │ │
│ │
───────┼──────────────────┤
│ │
nt (US$) │ │
───────┼──────────────────┤
│ │
mount (US$) │ │
───────┼──────────────────┤
│ │
stment (US$) │ │
remitting │ │
│ │
───────┼──────────────────┤
金額 After │ │
of investment│ │
g inward │ │
───────┴───┬──────┬───────┤
│ 是 │ 否 │
-account │ Yes □ │ No □ │
───────────┴──────┴───────┤
│
│
──────────────────────────┤
to Agent or Letter of Appointment to Representative │
件 Documents showing that the applicant meets with │
│
wan Rider) │
辦理保管業務者適用) The opening account document of │
Depository Co., Ltd.(Only applicable to those who │
│
明書、投資身分選擇之聲明書、無來自國內資金聲明書 (如│
Statement declaring that the applicant will not │
investors other than its contracted clients; that │
d China; that application and investment under │
o funds from Taiwan (applicable where the Applicant │
│
管機構或申請代理人代為審核所送表件是否符合規定) │
agent or custodian. │
ents requested by the SFC. │
──────────────────────────┤
│
簽名或蓋章 (Signature or Chop) │
licable where the application handling agent is not │
│
│
) │
──────────────────────────┘
In case the applicant applies for separate sub-
showing the relationship between each of the separate
|