Registration Directions for Offshore Overseas
Chinese and Foreign nationals to Invest ROC
Securities or to trade ROC Futures
1 / 39
TABLE OF CONTENTS
Ι. REGISTRATION OF OFFSHORE OVERSEAS CHINESE AND FOREIGN
NATIONALS ...................................................................................................................... 3
1. NEW ADDITION ............................................................................................................................... 3
(1) Basis: .............................................................................................................................................. 3
(2) Qualifications: ................................................................................................................................ 3
(3) Application Documents .................................................................................................................. 3
Exhibit 1-1-1 ……………………………………………………………………………………5
Exhibit 1-1-2 ……………………………………………………………………………………7
(4) Flow of Processing…………………………………………………………………………………9
Exhibit 1-2………………………………………………………………………………………10
2 AMENDMENT …………………………………………………………………………………12
Exhibit 1-3-1 ……………………………………………………………………………………13
Exhibit 1-3-2 ……………………………………………………………………………………14
Exhibit 1-4………………………………………………………………………………………15
3. Cancellation …………………………………………………………………………… ………15
Exhibit 1-5 ................................................................................................................................... 16
Exhibit 1-6 ................................................................................................................................... 16
II. REGISTRATION OF ONSHORE OVERSEAS CHINESE AND FOREIGN
NATIONALS .................................................................................................................. 17
1. NEW ADDITION ........................................................................................................................... 17
(1) Basis: ............................................................................................................................................ 17
(2) Qualifications: .............................................................................................................................. 17
(3) Application Documents ................................................................................................................ 17
Exhibit 2-1 ................................................................................................................................... 18
(4) Flow of Processing ........................................................................................................................ 19
Exhibit 2-2 ................................................................................................................................... 20
2. AMENDMENT AND CANCELLATION…………………… …………………………20
III. PRINCIPLE OF NUMBERING FOR IDENTIFICATION NUMBER ............... 21
IV. SUPPLEMENTAL REGISTRATION FOR ORIGINAL QFII SUB-ACCOUNT 22
1.APPLICATION FOR SUPPLEMENTAL REGISTRATION ....................................................... 22.
Exhibit 4-1 ....................................................................................................................................... 22
Exhibit 4-2 ....................................................................................................................................... 25
V. REGISTRATION OF OPENING TWO OR MORE THAN TWO TRADING
ACCOUNTS IN THE SAME SECURITIES BROKERAGE FIRM................................. 27
Exhibit 5-1 .................. ………………………………………………………………………………28
Exhibit 5-2………………………………………………………………………………………….32
Exhibit 5-3…………………………………………………………………………………………34
Exhibit 5-4…………………………………………………………………………………………. 36
Exhibit 5-5…………………………………………………………………………………………. 37
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I. Registration of Offshore Overseas Chinese and
Foreign nationals
1.
New addition
(1) Basis:
Dealt with according to Article 10 of Regulations Governing Investment in Securities
by Overseas Chinese and Foreign Nationals (hereinafter referred to as “the
Regulations”), Article 77-4 of Operating Rules of Taiwan Stock Exchange
Corporation (hereinafter referred to as “TSEC”) and Article 44-4 of Operating Rules
of Taiwan Futures Exchange Corporation (hereinafter referred to as “TAIFEX”).
(2) Qualification:
The term "offshore overseas Chinese and foreign nationals" means overseas Chinese,
foreign natural persons and foreign institutional investors outside the territory of the
Republic of China.
i. Offshore overseas Chinese and foreign natural persons mean those who hold the
nationality except the Mainland China area, at least 20 years old and hold
identification certificate.
ii. Offshore foreign institutional investors mean those institutions incorporated
outside the territory of the Republic of China, according to the laws and regulations of
the local.
(3) Application Documents
i. Registration Application Form: The agent (or the representative) of the offshore
overseas Chinese and foreign nationals shall fill out “Registration Application Form
for Offshore Foreign Institutional Investors to Invest ROC Securities or to Trade ROC
Futures” as Exhibit 1-1-1 and “Registration Application Form for Offshore Overseas
Chinese and Foreign Natural Persons to Invest ROC Securities or to Trade ROC
Futures” as Exhibit 1-1-2.
ii. Documents Enclosed: When applying for registration, the offshore overseas
Chinese and foreign nationals shall prepare the following
documents:
3 / 39
ii-1.1 Power of attorney to agent or letter of appointment to representative.
ii-2 Identification certificates
ii-2-1 Offshore Overseas Chinese and Foreign Natural Persons: passport,
identification certificate or other documents with a photo attached which can prove
applicant’s nationality or status.
ii-2-2 Offshore Foreign Institution Investors
1) Non-fund Type
I. Corporation
Incorporated certificate issued by authority such as company registration certificate; if
there is no company registration certificate, the following documents may serve as
replacement:
(i) The articles of incorporation of which the local governing authority has the record.
(ii) Qualification certificate issued by the tax bureau of the country where it is located.
II. Other organizations established according to the laws such as the government
investment institution, the non-profit organizations, foundations and academic
organizations. The certificate or the letter from the local governing authority
approving their establishment should be presented; if there is no such certificate or
letter, the following documents may serve as replacement:
(i) The articles of incorporation of which the local governing authority has the record.
(ii) The regulations or rules enacted as the basis for the establishment of the applicant.
(iii) Qualification certificate issued by the tax bureau of that land.
2) Type of Fund
The certificate or the letter from the local governing authority approving its
establishment should be presented; if there is no such certificate or letter, the
following documents may serve as replacement:
(i) The record published in the web site of the local governing authority showing that
the fund has completed its establishment registration.
(ii) Documents such as offering prospectus, trust contract or memorandum for private
placement of which the local governing authority has the record.
ii-3 When necessary, TSEC or TAIFEX might require the offshore foreign
institutional investors of the fund type which ticks “hedging” or “investment” and
4 / 39
“hedging” in Point 2 of the Declaration Items in the Registration Application Form to
provide its articles of incorporation or the establishment contract, or documents
explaining the investment or transaction strategies.
Exhibit 1-1-1
Registration Application Form for Offshore Foreign Institutional
Investors to Invest ROC Securities or to Trade ROC Futures
1. Applicant
Name in Chinese:
Name in English:
(Applicant's name shall be same as indicated on supporting identification documents)
Establishment Date:
2. Nationality
□ 1. Japan
□ 2. United States
□ 3. United Kingdom
□ 4. Other European Country
□ 5A. Hong Kong
□ 5B. Macao
□ 6A. New Zealand
□ 6B. Australia
□ 7. Others
______________________1
______________________1
3. Type of Applicant (Please check applicable box and fill in relevant information, as appropriate)
□ If Applicant is a fund.
Type:
□ If Applicant is not a fund.
Type:
□ a fund established as a corporation.
□ a bank.
□ a trust fund.
□ an insurance company.
□ a fund established as a partnership.
□ a securities firm or a futures
commission merchant
□ a pension fund.
□ Others ____________2
□ a mutual fund.
□ an unit trust.
1
2
Please specify country.
Please specify.
5 / 39
□ Others
4. Declaration: (effective from the date this registration form is signed)
(1) The funds to be remitted by the
(1) The funds to be remitted by the
applicant to invest ROC securities or
applicant to invest ROC securities or
to trade ROC futures will not come
to trade ROC futures will not come
from Mainland China.
from Taiwan or Mainland China.
(2) The documents and information
provided by the applicant are true
and correct.
(2) Pursuant to the Articles or
Memorandum of Incorporation or
other constitutive documents or
agreements for establishment of the (3)
applicant, the nature of applicant's
overall investment or trading strategy
is for the following purposes (Please
check the appropriate box)
□
investment
□
hedging
The applicant will not use unjust
measures to affect the fairness or
order of the ROC financial/securities
market.
(3) The documents and the contents
provided by the applicant are true
and accurate.
(4) The applicant will not use unjust
measures to affect the fairness or
order of the ROC financial/securities
market.
5. Background Information on Applicant (if the applicant is not a fund)
Name
Top Three Shareholders or Shareholders
who own 5% or more of Applicant's share
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Nationality
R.O.C. Business
Registration No.
or Identification
No.
capital.
* If any of the shareholders holds R.O.C.
nationality,
please
complete
the
business
registration number or identification number
6. Other Information (Please mark N/A, if such item is not applicable)
Name
Asset Management Company
E-mail Address:
Trustee 4
Advisory Company
Global Custodian
Application Date:
Agent:
Representative:
Contact Person :
Telephone Number :
E-mail Address :
Taiwan Custodian:
Attachments
1. Power of attorney to agent or letter of appointment to representative.
2. Documents evidencing that the applicant meets these Guidelines.
3. Registration form in English signed by applicant.
4
. If applicant is a trust, name of his trustee must be filled in and this registration form must be
signed by the trustee.
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Applicant: ____________________________________________
Name and Signature
of Authorized Signatory: ___________________________________
Title: ________________________________________________
Execution Date: ________________________________________
Exhibit 1-1-2
Registration Application Form for Offshore Overseas Chinese & Foreign
Natural Persons to Invest ROC Securities or to Trade ROC Futures
1. Applicant
Name in Chinese:
Name in English:
(Applicant's name shall be same as indicated on supporting identification documents)
Date of Birth:
2. Nationality
□ 1. Japan
□ 2. United States
□ 3. United Kingdom
□ 4. Other European Country
______________________1
□ 5A. Hong Kong
□ 5B. Macao
□ 6A. New Zealand
□ 6B. Australia
□ 7. Others
______________________1
3. Declaration: (effective from the date this registration form is signed)
(1) The funds to be remitted by the applicant to invest ROC securities or to trade ROC
futures will not come from Mainland China.
(2) The documents and the contents provided by the applicant are true and accurate.
(3) The applicant will not use unjust measures to affect the fairness or order of the
ROC financial/securities market.
1
Please specify country.
8 / 39
Application Date:
Agent:
Representative:
Contact Person :
Telephone Number :
E-mail Address :
Taiwan Custodian:
Attachments :
1. Power of Attorney to Agent or Letter of Appointment to Representative.
2. Documents evidencing that the applicant meets these Guidelines.
3. Registration form in English signed by applicant.
Applicant: ____________________________________________
Name and Signature
of Authorized Signatory: ___________________________________
Title: ________________________________________________
Execution Date: ________________________________________
(4) Flow of Processing
I. Transmission of the Registration Application Form: Once the agent (or the
representative) of the offshore overseas Chinese and foreign nationals applying for
registration transmits the Registration Application Form on line in TSEC’s system,
TSEC will, after on-line review of information transmitted through computer has been
completed, issue the “Certificate of Registration Completion for Offshore Overseas
Chinese and Foreign Nationals” as Exhibit 1-2.
ii. The Relevant Material Delivered to TSEC: The agent (or the representative) of the
offshore overseas Chinese and foreign nationals shall deliver to TSEC the English
version of the registration form which signed personally by applicants applying for
registration (identical to the contents of information transmitted to TSEC), along with
the Chinese version of the registration form, the certificate for registration completion
and the documents provided in item 2 of the above-mentioned (3), Application
Documents, for record. TSEC will review these documents periodically.
iii. Registration not permitted: TSEC or TAIFEX may not permit the registration if the
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offshore overseas Chinese and foreign nationals applying for registration have any of
the following situations:
iii-1
The registered documents or particulars thereof are found to be fraudulent
or untrue;
iii-2 The registered documents are incomplete or have not been fully filled out, and
the applicant has failed, upon notification by TSEC, to make supplement within five
days; or
iii-3
There is a serious violation of Regulations Governing Investment in
Securities by Overseas Chinese and Foreign Nationals or the laws and regulations
concerning securities or futures administration.
Exhibit 1-2
Certificate of Registration Completion for
Offshore Overseas Chinese and Foreign Nationals
Investment Identification No.:
Account Number in Securities Firm:

Beginning nine nine (except 997 and 998) followed with four-digit serial number
and one-digit check code ( if the second number after F is 1-5)

Beginning nine nine seven followed with three-digit serial number and one-digit
check code (if the second number after F is 7)
Identification Code for Opening Account in Securities Firm:
Identification Code for Opening Account in FCM:
Name in Chinese:
Name in English:
Taiwan Custodian:
Agent/ Representative:
Date of Registration Completed:
Note: Please use the Chinese name in the certificate for registration completion
for account opening.
2. Amendment
If the contents of the registration items of the offshore Chinese and foreign nationals
have been changed, the agent (or the representative) should apply to TSEC for
amendment in registration therewith.
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(1) Application Explanation
i. Changing Name
Amendment Registration Application Form: The agent (or the representative) of the
offshore Chinese and foreign nationals should transmits the “Registration Application
Form for Name Change by Offshore Overseas Chinese and Foreign Nationals” as
Exhibit 1-3-1on line in TSEC’s system. Once TSEC’s system checks on line and finds
no error, the agent can print out the “Certificate of Amendment Registration
Completion for Offshore Overseas Chinese and Foreign Nationals” as Exhibit 1-4,
with which the agent can apply to securities brokers or futures commission merchants
for name change. The related documents need not be filed for record to TSEC, but
TSEC or TAIFEX might require the applicant to provide related information when
necessary.
ii. Change of the Agent or the Representative
Amendment Registration Application Form: The agent (or the representative) of the
offshore Overseas Chinese and foreign Nationals should transmit “Registration
Form for Change of the Agent or Representative by Offshore Overseas Chinese
and Foreign Nationals” as Exhibit 1-3-2 on line in TSEC’s system. Once TSEC’s
system checks on line and finds no error, the agent can print out “Certificate of
Amendment Registration Completion for Offshore Overseas Chinese and Foreign
Nationals” as Exhibit 1-4, with which the agent can apply to securities brokers or
futures commission merchants for name change. The related documents need not be
filed for record to TSEC, but TSEC or TAIFEX might require the applicant to provide
related information when necessary.
iii. Change of Other Items: Except the above-mentioned changes, for the change of
Item Five of the registration form, the background information of the shareholders,
and Item Six, other basic information, the agent (or the representative) of the offshore
overseas Chinese and foreign nationals makes such change in TSEC’s system on his
own initiative, and the relevant documents and information are not required to be sent
to TSEC for record.
Exhibit 1-3-1
Registration Application Form for Name Change
by Offshore Overseas Chinese & Foreign Nationals
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Investment Identification No.
1. Applicant
Original Name in Chinese
Original Name in English :
New Name in Chinese:
New Name in English :
2. Taiwan Agent / Representative & Custodian
Agent / Representative:
Custodian:
Contact Person:
Representative :
Tel No.
Email Address :
3. Type of Applicant (please check applicable box and fill in relevant information, as
appropriate.)
□ If Applicant is a fund.
□ If Applicant is not a fund.
Type :
Type :
□ a fund established as a corporation
□ a bank
□ a fund established as a corporation
□ an insurance company
□ a trust fund
□ a securities firm or a futures
□ a fund established as a partnership
commission merchant
□ a Pension Fund
□ others ( please specify _________)
□ a mutual fund
□ an unit trust
□ others
4、Declaration: (effective from the date this
4、Declaration: (effective from the date this
registration form is signed)
registration form is signed)
(1) The funds to be remitted by the applicant (1) The funds to be remitted by the applicant
to invest ROC securities or to trade ROC
to invest ROC securities or to trade ROC
futures will not come from Mainland
futures will not come from Taiwan or
China.
Mainland China.
(2) Pursuant to the Articles or Memorandum (2) The documents and information provided
of Incorporation or other constitutive
by the applicant are true and correct.
documents or agreements for
establishment of the applicant, the nature (3) The applicant will not use unjust
of applicant's overall investment or
measures to affect the fairness or order of
trading strategy is for the Following
the ROC financial/securities market.
purposes (Please tick the appropriate box) .
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□
investment
□
hedging
(3) The documents and the contents provided
by the applicant are true and accurate.
(4) The applicant will not use unjust
measures to affect the fairness or order of
the ROC financial/securities market.
Applicant: __________________________________________________________
Name and Signature
Of Authorized Signatory: ______________________________________________
Title:
______________________________________________________________
Execution Date: ______________________________________________________
Exhibit 1-3-2
Registration Form for Change of the Agent or Representative
by Offshore Overseas Chinese & Foreign Nationals
Investment Identification No.
1. Applicant
Original Name in Chinese
Original Name in English :
2.Agent & Taiwan Custodian
Original Agent:
Original Taiwan Custodian:
New Agent:
New Taiwan Custodian:
(Company Chop)
Contact Person:
New Representative:
Tel No.
Email Address :
13 / 39
Exhibit 1-4
Certificate of Amendment Registration Completion for
Offshore Overseas Chinese and Foreign Nationals
Investment Identification No.：
Account Name
New Name in Chinese::
Original Name in Chinese：
New Name in English：
Original Name in English：
Agent/Representative & Taiwan Custodian
New Agent/Representative：
Original Agent/Representative：
New Taiwan Custodian:
Original Taiwan Custodian：
Date of Amendment Registration Completed：
3. Cancellation
(1) Explanation of Application Processing
Cancellation Registration Form: The agent (or the representative) of the offshore
overseas Chinese and foreign nationals applying for cancellation should transmit
“Cancellation Registration Application Form for the Offshore Overseas Chinese and
Foreign Nationals” as Exhibit 1-5, on line in TSEC’s system, as well as faxes copy of
power of attorney for tax payment or the letter of consent issued by the Tax Bureau of
Taipei Municipal Government to TSEC. Then the agent can print out the
“Certificate of Cancellation Registration Completion for Offshore Overseas Chinese
and Foreign Nationals” on line in TSEC’s system as Exhibit 1-6, and can go to the
securities firm or futures commission merchant to cancel the account.
Exhibit 1-5
Cancellation Registration Application Form for the
Offshore Overseas Chinese and Foreign Nationals
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Investment Identification No.:
1. Applicant:
Name in Chinese:
Name in English:
2. Taiwan Custodian and Agent/Representative
Taiwan Custodian:
Agent
(Company Chop)
Contact Person:
Telephone No.:
Exhibit 1-6
Certificate of Cancellation Registration Completion for
Offshore Overseas Chinese and Foreign Nationals
Investment Identification No.:
Original Name in Chinese:
Name in English:
Taiwan Custodian:
Agent / Representative:
Date of Cancellation Registration Completion:
15 / 39
Ⅱ.Registration of Onshore Overseas Chinese and
Foreign nationals
1. New addition
(1) Basis:
Dealt with according to Article 10 of the Regulations, Article 77-4 of the Operating
Rules of Taiwan Stock Exchange Corporation, and Article 44-4 of the Operating
Rules of Taiwan Futures Exchange Corporation.
(2) Qualifications:
The term "onshore overseas Chinese and foreign nationals" means overseas Chinese,
foreign natural persons and foreign institutional investors inside the territory of the
Republic of China.
i. Onshore Overseas Chinese and Foreign natural persons: at least 20 years old,
residing in the territory of the Republic of China with overseas Chinese identification
certificate or alien resident certificate.
ii. Onshore Foreign Institutional Investors: Foreign juristic person which sets up the
branch office in the territory of the Republic of China.
(3) Application Documents
i. Registration Form: The onshore overseas Chinese and foreign nationals should fill
out “Registration Form for Onshore Overseas Chinese and Foreign Nationals to Invest
ROC Securities or to Trade ROC Futures” as Exhibit 2-1.
ii. Documents Enclosed: The onshore overseas Chinese and foreign nationals
applying for registration should prepare the following documents:
ii-1. Onshore Overseas Chinese and Foreign Natural Persons: passport and the alien
resident certificate or overseas Chinese identification certificate.
ii-2. Onshore Foreign Institutional Investors: The Recognition Certificate from the
Ministry of the Economic Affairs, company registration certificate, business
registration certificate, the identification certificate or the alien resident certificate or
passport of the responsible person.
16 / 39
Exhibit 2-1
Registration Form for Onshore Overseas Chinese & Foreign
Nationals to Invest ROC Securities or to Trade ROC Futures
Applicant
Name in Chinese:
Name in English:
(Applicant's name shall be same as indicated on supporting identification documents)
Date of Birth:
(for natural person)
Establishment Date:
(for juristic person)
Nationality
□ 1. Japan
□ 2. United States
□ 3. United Kingdom
□ 4. Other European Country
______________________
□ 5A. Hong Kong
□ 5B. Macao
□ 6A. New Zealand
□ 6B. Australia
□ 7. Others
______________________
Declaration: (effective from the date this registration form is signed)
(1) The funds to be remitted by the applicant to invest ROC securities or to trade ROC
futures will not come from Mainland China.
(2) The documents and the contents provided by the applicant are true and accurate.
(3) The applicant will not use unjust measures to affect the fairness or order of the
ROC financial/securities market.
Application Date:
Applicant:
Mailing Address:
Telephone Number:
6. Securities Firm or FCM(Representative handling Agent) :
(Company’s Chop)
Maker:
17 / 39
Applicant: ____________________________________________
Execution Date: ________________________________________
(4) Flow of Processing
i. The onshore overseas Chinese and foreign nationals applying for registration should
prepare those documents as mentioned in the above-mentioned II.1. (3), item 2 and
entrust the securities brokerage firm or futures commission merchant to apply to
TSEC.
ii. Review of Registration Form: Once the securities brokerage firm or futures
commission merchant transmits the registration form filled out on line in TSEC’s
system, TSEC will immediately review each item of the transmitted material, and
provide the result of the registration application on line, which is classified as follows:
ii-1.
Registration Completed: If each item of the transmitted material has been
reviewed through computer and the nationality is not of mainland China, the process
of registration application to TSEC is completed. After the securities firm or futures
commission merchant prints out the registration application form and hands it over for
personal signature of the onshore overseas Chinese and foreign nationals, and prints
out the Certificate of Registration Completion for Onshore Overseas Chinese and
Foreign Nationals as Exhibit 2-2 , they can handle the account opening. After
completing the registration, the securities company or futures commission merchant
does not need to deliver to TSEC the relevant documents and material of the onshore
overseas Chinese and foreign nationals. The securities company should keep the
copies of the documents mentioned in (3), Application Documents, the registration
application form signed by the applicant and Certificate of Registration Completion.
ii-2. Duplicate Registration: The material transmitted is exactly the same as the
English name, nationality and date of birth as other foreign investor already approved
or completing registration.
iii. Registration not permitted: TSEC or TAIFEX may not permit the registration
when the onshore overseas Chinese and foreign nationals applying for registration
have any of the following situations:
18 / 39
iii-1. The contents or items of the registration documents are found to be fraudulent or
untrue;
iii-2. The registration documents are incomplete or have not been fully filled out; or
iii-3.
There is a serious violation of Regulations Governing Investment in
Securities by Overseas Chinese and Foreign Nationals or the laws and regulations
concerning securities or futures administration.
Exhibit 2-2
Certificate of Registration Completion for
Onshore Overseas Chinese and Foreign Nationals
Investment Identification No.:
Account Number in Securities Firm:
(beginning nine nine eight followed with three-digit serial number and one-digit
check code)
Securities Identification Code:
Futures Identification Code:
Name in Chinese:
Name in English:
Date of Registration Completed:
Note: Please use the Chinese name in the Certificate of Registration Completion
to open the account.
2. Amendment and Cancellation
If the contents of the registration items of the Onshore Overseas Chinese and foreign
nationals have been changed or there have cancellation application, the securities firm
or futures commission merchant should submit an application to TSEC with following
documents:
i. Onshore overseas Chinese and foreign natural persons: passport and the alien
resident certificate or overseas Chinese identification certificate.
ii. Onshore Foreign Institutional Investors: The Recognition Certificate from the
Ministry of the Economic Affairs, company registration certificate, business
registration certificate, the identification certificate or the alien resident certificate or
passport of the responsible person.
19 / 39
III.
Principle of Numbering for Identification
Number
PRINCIPLE OF F-NUMBERING FOR APPLICANT IDENTIFICATION
NUMBER
Onshore
Offshore
Overseas Foreign Overseas
Chinese Institu- Chinese
&
tional
&
Category
Foreign Investors Foreign
Natural
Natural
Persons
Foreign Institutional Investors
Bank
Fund
Type
Persons
Securities
Firm or
Futures
Commissi
Others
on
Merchant
F
N1
Insurance
Company
F
1. Japan 2. United States 3. Great Britain 4. Other European Countries
5. Hong Kong, Macau 6. New Zealand, Australia 7. Others(e.g. Canada,
Singapore, etc.)
N2
8
8
7
1
2
3
4
5
N3
|
N7
50001
|
99999
00001
|
50000
50001
|
99999
90001
|
99999
90001
|
99999
90001
|
99999
90001
|
99999
90001
|
99999
N8
Check Code
Securities
A/C No.
998
998
997
990-996
Securities
Identificat
ion Code
404
403
404
401
Futures
Identificat
ion A/C
No.
I
B
J
A
20 / 39
PRINCIPLE OF F-NUMBERING G-NUMBERING FOR APPLICANT
IDENTIFICATION NUMBER
Onshore
Offshore
Overseas Foreign Overseas
Chinese Institu- Chinese
&
tional
&
Category
Foreign Investors Foreign
Natural
Persons
Foreign Institutional Investors
Bank
Fund
Type
Natural
Persons
Securities
Firm or
Futures
Others
Commissi
on
Merchant
G/H
N1
Insurance
Company
G/H
1. Japan 2. United States 3. Great Britain 4. Other European Countries
5. Hong Kong, Macau 6. New Zealand, Australia 7. Others (e.g. Canada,
Singapore, etc.)
N2
8
8
7
1
2
3
4
5
N3
|
50001
|
00001
|
50001
|
00001
|
00001
|
00001
|
00001
|
00001
|
N7
99999
50000
99999
90001
90001
90001
90001
90001
N8
Check Code
Securities
A/C No.
998
998
997
990-996
Securities
Identificat
ion Code
404
403
404
401
I
B
J
A
Futures
Identificat
ion A/C
No.
21 / 39
IV. Supplemental registration for original QFII
sub-account
1. Application for Supplemental Registration
(1)The agent (or the representative) of the original QFII Sub-Account should
transmit Investment Arrangement Number in TSEC’s system.
(2)The system will automatically produce “Taiwan Stock Exchange Corporation
Offshore Foreign Institutional Investors Registration Form (for QFII
Sub-Account Registration as FINI)” as Exhibit 4-1. The original Sub-Account
F number, original Sub-Account, and English name will be automatically
produced. Other material will be filled out by the agent (or the representative)
of the offshore overseas Chinese and foreign investors.
Exhibit 4-1
Offshore Foreign Institutional Investor Registration Form
(for Original QFII Sub-Account Registration as FINI)
Information of QFII Sub-Account :
F number of the QFII Sub-Account :
QFII Sub-Account Name in Chinese :
QFII Sub-Account Name in English :
1. Applicant
Name in Chinese:
Name in English:
(Applicant's name shall be same as indicated on supporting identification documents)
Establishment Date:
2. Nationality
□ 1. Japan
□ 2. United States
□ 3. United Kingdom
□ 4. Other European Country
□ 5A. Hong Kong
□ 5B. Macao
□ 6A. New Zealand
□ 6B. Australia
□ 7. Others
______________________1
______________________1
3. Type of Applicant (Please check applicable box and fill in relevant information, as appropriate)
1
Please specify country.
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□ If Applicant is a fund.
□ If Applicant is not a fund.
Type:
Type:
Applicant is
Applicant is
□
a fund established as a corporation.
□ a bank.
□
a trust fund.
□ an insurance company
□
a fund established as a partnership.
□ a securities firm or futures
commission merchant
□
a pension fund.
□ Others ____________2
□
a mutual fund.
□
an unit trust.
□
Others
4、Declaration: (effective from the date this
4、Declaration: (effective from the date this
registration form is signed)
registration form is signed)
(1) The funds to be remitted by the
applicant to invest ROC securities or to
trade ROC futures will not come from
Taiwan or Mainland China.
(1) The funds to be remitted by the
applicant to invest ROC securities or to
trade ROC futures will not come from
Mainland China.
(2) The documents and information
(2) Pursuant to the Articles or
provided by the applicant are true and
Memorandum of Incorporation or other
correct.
constitutive documents or agreements
for establishment of the applicant, the
(3) The applicant will not use unjust
nature of applicant's overall investment
measures to affect the fairness or order
or trading strategy is for the following
of the ROC financial/securities market.
purposes (Please check the appropriate
box)
□
investment
□
hedging
(3) The documents and the contents
provided by the applicant are true and
accurate.
(4) The applicant will not use unjust
2
Please specify.
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measures to affect the fairness or order
of the ROC financial/securities market
5. Background Information on Applicant (if the applicant is not a fund)
Name Nationality R.O.C. Business
Registration No. or
Identification No.
Top Three Shareholders or Shareholders
who own 5% or more of Applicant's share
capital.
* If any of the shareholders holds R.O.C.
nationality, please complete the business
registration number or identification number
6. Other Information (Please mark N/A, if such item is not applicable)
Name
Asset Management Company
Trustee (If applicant is a trust, name of his
trustee must be filled in and this registration form
must be signed by the trustee.)
Advisory Company
Global Custodian
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Application Date:
Information of Applicant's Taiwan Agent / Representative:
Name :
Contact Person :
Telephone Number :
E-mail Address :
Taiwan Custodian:
Attachments :
1. Power of Attorney to Agent or Letter of Appointment to Representative.
2. Documents evidencing that the applicant meets the qualification required by
Paragraph 2 of Article 3, of the Regulations Governing Securities Investment by
Overseas Chinese and Foreign Nationals.
3. Registration form in English signed by applicant.
4. Other Required Documents (if applicant only checks □ hedging or checks
both □ investment and □ hedging in declaration column.
Applicant: ____________________________________________
Name and Signature
of Authorized Signatory: ___________________________________
Title: ________________________________________________
Execution Date: ________________________________________
(3) Flow of processing: Once the agent (or the representative) transmits the
supplemental registration application material filled out in TSEC’s system,
TSEC will immediately engage in review of each item of the transmitted
material. Once TSEC’s system checks on line and finds no error, the agent (or
the representative) of the Sub-Account may proceed to print out the Certificate
of Supplemental Registration Completion on line in TSEC’s system as Exhibit
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4-2.
Exhibit 4-2
Taiwan Stock Exchange Corporation
Certificate of Sub-Account Supplemental Registration Completion
Investment Identification No.：
Account Number in Securities Firm:
(beginning nine nine followed with four-digit serial number and one-digit check code
( except 997 and 998)
Identification Code：
Original Name in Chinese：
Name in English：
Taiwan Custodian：
Agent / Representative：
Date of Supplemental Registration Completed：
(4) The Delivery of the Relevant Documents to TSEC: After transmitting the
registration application material to TSEC’s system, except for the registration
result considered duplicate registration, the agent (or the representative) of the
Sub-Account should deliver the relevant documents provided as the same as
processing of new addition in item 1 to TSEC, who will review the related
documents periodically.
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V. Registration of opening two or more than two
trading accounts in the same securities brokerage
firm
1.
The offshore foreign institutional investor who meets one of the following
conditions may open two or more investment transaction account, respectively,
in the same brokerage firm (including each branch office):
(1) The investment strategy calls for operation by external manager.
(2) The internal investment operation uses the different transaction platforms,
e.g.,
i. Different branches of the applicant;
indifferent trading units or traders within the applicant’s organization;
iii. Segregation of applicant’s proprietary and brokerage position; and
iv. Portfolios under different insurance policies.
(3) The external account administrators (e.g. global custodian banks or
brokers) were assigned to operate and manage accounts.
(4) Other situations approved by the Securities and Futures Bureau.
2. The agent (or the representative) of the offshore foreign institutional investor
shall fill out and transmit the “Registration of Opening Two or More Than Two
Trading Accounts in the Same Securities Brokerage Firm” form as Exhibit 5-1 on
line in TSEC’s system, and then faxes to TSEC with the printout of
Chinese-version “Registration of Opening Two or More Than Two Trading
Accounts in the Same Securities Brokerage Firm” and English-version
“Registration of Opening Two or More Than Two Trading Accounts in the Same
Securities Brokerage Firm” form signed by the applicant and other relevant
material. Only after all these procedures are completed, the agent (or the
representative) of the offshore foreign institutional investor can proceed to print
out “Certificate of Registration Completion for Opening Two or More Than Two
Trading Accounts in the Same Securities Brokerage Firm” form as Exhibit 5-2.
Then the agent (or the representative) of the offshore foreign institutional investor
may go to the securities brokerage firm for processing with the registration
certification printout and the account opening application letter signed personally
by the offshore institutional investor.
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Exhibit 5-1
Registration Application Form for Opening Two or More Than Two
Trading Accounts in the Same Securities Brokerage Firm
Applicant’s Basic Information (Item 1-3 will be given by system automatically)
1. Investment Identification No.:
2. Applicant:
Name in Chinese:
Name in English:
3. Taiwan Custodian and Agent/ Representative:
Agent/ Representative:
Taiwan Custodian:
Two or More Than Two Trading Accounts Opened and To Be Opened in the Same
Securities Brokerage Firm (All Registered Accounts will be given by system
automatically)
1. Trading Account No. 1
Reason for Account Opening: (Please check the appropriate box)
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Please enter account name to be attached:
Name in Chinese:
Name in English:
2. Trading Account No. 2
Reason for Account Opening: (Please check the appropriate box)
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Please enter account name to be attached:
Name in Chinese:
Name in English:
3. Trading Account No. 3
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Reason for Account Opening: (Please check the appropriate box)
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Please enter account name to be attached:
Name in Chinese:
Name in English:
4. Trading Account No. 4
Reason for Account Opening: (Please check the appropriate box)
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Please enter account name to be attached:
Name in Chinese:
Name in English:
(The number of accounts to be opened can be increased to accommodate the demand
of offshore foreign institutional investors.)
Exhibit 5-2
Certificate of Registration Completion for Opening Two or More Than Two
Trading Accounts in the Same Securities Brokerage Firm
Investment Identification No.:
Account Number in Securities Firm:

Beginning nine nine (except 997 and 998) followed with four-digit serial number and
one-digit check code ( if the second number after F is 1-5)

Beginning nine nine seven followed with three-digit serial number and one-digit check
code (if the second number after F is 7)
Identification Code for Opening Account in Securities Firm:
Name in Chinese:
Name in English:
Taiwan Custodian:
Agent/ Representative:
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Two or More Than Two Trading Accounts Opened and To Be Opened in the Same
Securities Brokerage Firm
1. Trading Account No. 1
Reason for Account Opening: (Please check the appropriate box)
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Please enter account name to be attached:
Name in Chinese:
Name in English:
Date of Registration Completed:
2. Trading Account No. 2
Reason for Account Opening: (Please check the appropriate box)
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Please enter account name to be attached:
Name in Chinese:
Name in English:
Date of Registration Completed:
3. Trading Account No. 3
Reason for Account Opening: (Please check the appropriate box)
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Please enter account name to be attached:
Name in Chinese:
Name in English:
Date of Registration Completed:
4. Trading Account No. 4
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Reason for Account Opening: (Please check the appropriate box)
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Please enter account name to be attached:
Name in Chinese:
Name in English:
Date of Registration Completed:
Note: Please use the Chinese name in the certificate for registration completion for
account opening.
(The number of accounts to be opened can be increased to accommodate the demand
of offshore foreign institutional investors.)
3. The above-mentioned account opening application letter should state the reason
of account opening and provide the following documents for proof:
(1) The investment strategy retains the external manager for operations:
i. The copy of investment management contract; or
ii. The external manager presents the letter to confirm the commissioned
management of operations with the offshore foreign institutional investor.
(2) The internal investment operation uses a different trading platform:
Document from the offshore foreign institutional investor (headquarters)
to explain the internal investment operations, and Declaration of No
Fraudulence.
3. The external account administrators (e.g. global custodian banks or
brokers) were assigned to operate and manage accounts:
i. The copy of investment management contract; or
ii. The external administrators present the letter to confirm the
commissioned management of operations with the offshore foreign
institutional investor.
4.
After attaching the Chinese name properly registered to the name of the offshore
foreign institutional investor, the securities brokerage firm should process the
account opening to distinctly separate the rights and responsibilities of each
different account of the same investor for better management.
5. Change of name
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The agent (or the representative) of the offshore foreign institutional investor
shall fill out and transmit the “Registration for name change of Opening Two or
More Than Two Trading Accounts in the Same Securities Brokerage Firm” form
as Exhibit 5-3 on line in TSEC’s system, and then faxes to TSEC with the
printout of Chinese-version “Registration for name change of Opening Two or
More Than Two Trading Accounts in the Same Securities Brokerage Firm” and
English-version “Registration for name change of Opening Two or More Than
Two Trading Accounts in the Same Securities Brokerage Firm” form signed by
the applicant and other relevant material. Only after all these procedures are
completed, the agent (or the representative) of the offshore foreign institutional
investor can proceed to print out “Certificate of Registration Completion for
name change of Opening Two or More Than Two Trading Accounts in the Same
Securities Brokerage Firm” form as Exhibit 5-4. Then the agent (or the
representative) of the offshore foreign institutional investor may go to the
securities brokerage firm for processing with the registration for name change
certification printout and the account opening application letter signed personally
by the offshore institutional investor.
Exhibit 5-3
Registration Application Form for Name Change for Opening Two or More
Than Two Trading Accounts in the Same Securities Brokerage Firm
Applicant’s Basic Information (Item 1-3 will be given by system automatically)
1. Investment Identification No.:
2. Applicant:
Name in Chinese:
Name in English:
3. Taiwan Custodian and Agent/ Representative:
Agent/ Representative:
Taiwan Custodian:
Two or More Than Two Trading Accounts Opened and To Be Opened in the Same
Securities Brokerage Firm (All Registered Accounts will be given by system
automatically)
1. Trading Account No. 1
Reason for Account Opening: (Please check the appropriate box)
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
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Please enter account name to be attached:
Original name in Chinese:
Original name in English:
New Name in Chinese:
New Name in English:
2. Trading Account No. 2
Reason for Account Opening: (Please check the appropriate box)
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Please enter account name to be attached:
Original name in Chinese:
Original name in English:
New Name in Chinese:
New Name in English:
3. Trading Account No. 3
Reason for Account Opening: (Please check the appropriate box)
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Please enter account name to be attached:
Original name in Chinese:
Original name in English:
New Name in Chinese:
New Name in English:
4. Trading Account No. 4
Reason for Account Opening: (Please check the appropriate box)
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
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Please enter account name to be attached:
Original name in Chinese:
Original name in English:
New Name in Chinese:
New Name in English:
(The number of accounts to be opened can be increased to accommodate the demand
of offshore foreign institutional investors.)
Exhibit 5-4
Certificate of Amendment Registration Completion for Name Change for
Opening Two or More Than Two Trading Accounts in the Same Securities
Brokerage Firm
Investment Identification No.:
Account Number in Securities Firm:
Identification Code for Opening Account in Securities Firm:
Name in Chinese:
Name in English:
Taiwan Custodian:
Agent/ Representative:
Two or More Than Two Trading Accounts for Name Change in the Same Securities
Brokerage Firm
1. Trading Account No. 1
Reason for Account Opening: (Please check the appropriate box)
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Original name in Chinese:
Original name in English:
New Name in Chinese:
New Name in English:
Date of Registration for Name Change Completed:
2. Trading Account No. 2
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Reason for Account Opening: (Please check the appropriate box)
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Original name in Chinese:
Original name in English:
New Name in Chinese:
New Name in English:
Date of Registration for Name Change Completed:
3. Trading Account No. 3
Reason for Account Opening: (Please check the appropriate box)
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Original name in Chinese:
Original name in English:
New Name in Chinese:
New Name in English:
Date of Registration for Name Change Completed:
4. Trading Account No. 4
Reason for Account Opening: (Please check the appropriate box)
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Original name in Chinese:
Original name in English:
New Name in Chinese:
New Name in English:
Date of Registration for Name Change Completed:
6. Cancellation
The agent (or the representative) of the offshore foreign institutional investor
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shall fill out and transmit the “Cancellation Registration Application Form of
Opening Two or More Than Two Trading Accounts in the Same Securities
Brokerage Firm” form as Exhibit 5-5 on line in TSEC’s system, and then faxes to
TSEC with the printout of Chinese-version “Cancellation Registration
Application Form of Opening Two or More Than Two Trading Accounts in the
Same Securities Brokerage Firm” and English-version “Cancellation
Registration Application Form of Opening Two or More Than Two Trading
Accounts in the Same Securities Brokerage Firm” form signed by the applicant
and other relevant material. Only after all these procedures are completed, the
agent (or the representative) of the offshore foreign institutional investor can
proceed to print out “Cancellation Registration Application Form of Registration
Completion for Opening Two or More Than Two Trading Accounts in the Same
Securities Brokerage Firm” form as Exhibit 5-6. Then the agent (or the
representative) of the offshore foreign institutional investor may go to the
securities brokerage firm for processing with the registration certification
printout and the account opening application letter signed personally by the
offshore institutional investor.
Exhibit 5-5
Cancellation Registration Application Form for Opening Two or More Than Two
Trading Accounts in the Same Securities Brokerage Firm
Applicant’s Basic Information (Item 1-3 will be given by system automatically)
1. Investment Identification No.:
2. Applicant:
Name in Chinese:
Name in English:
3. Taiwan Custodian and Agent/ Representative:
Agent/ Representative:
Taiwan Custodian:
Two or More Than Two Trading Accounts Opened in the Same Securities Brokerage
Firm (All registered accounts will be given by system automatically, please tick for the
accounts to be cancelled.)
1. Trading Account No. 1
Reason for Account Opening:
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
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Name in Chinese:
Name in English:
2. Trading Account No. 2
Reason for Account Opening:
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Name in Chinese:
Name in English:
3. Trading Account No. 3
Reason for Account Opening:
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Name in Chinese:
Name in English:
4. Trading Account No. 4
Reason for Account Opening:
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Name in Chinese:
Name in English:
Exhibit 5-6
Taiwan Stock Exchange Corporation
Certificate of Cancellation Registration Completion for Opening Two or More
Than Two Trading Accounts in the Same Securities Brokerage Firm
Investment Identification No.:
Account Number in Securities Firm:
37 / 39
Identification Code for Opening Account in Securities Firm:
Name in Chinese:
Name in English:
Taiwan Custodian:
Agent/ Representative:
Two or More Than Two Trading Accounts Opened in the Same Securities Brokerage
Firm
1. Trading Account No. 1
Reason for Account Opening:
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Name in Chinese:
Name in English:
Date of Cancellation Registration Completion:
2. Trading Account No. 2
Reason for Account Opening:
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Name in Chinese:
Name in English:
Date of Cancellation Registration Completion:
3. Trading Account No. 3
Reason for Account Opening: (Please check the appropriate box)
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Name in Chinese:
Name in English:
Date of Cancellation Registration Completion:
4. Trading Account No. 4
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Reason for Account Opening:
□ The investment strategy calls for operation by external manager.
□ The internal investment operation uses the different transaction platforms.
□ The external account administrators (e.g. global custodian banks or brokers) were
assigned to operate and manage accounts.
□ Other situations approved by the Securities and Futures Bureau.
Name in Chinese:
Name in English:
Date of Cancellation Registration Completion:
VI. These Directions are jointly drafted by TSEC and TAIFEX and come into effect
when promulgated after approved by competent authority. Subsequent amendments
thereto shall be effect in the same manner (process).
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