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Operation process for the review of offshore fund’s agency application

Name of the Application form:Operation process for the review of offshore fund’s agency application
Responsible agency:Section 4, the Securities and Future Bureau of Financial Supervisory Commission, Executive Yuan
Application forms available for downloading:Application form, Attachment 1 Basic data of offshore funds, Attachment 2 Review list of offshore funds, Attachment 3 Self-check list of the general agency, Attachment 4 Statement of the general agency
Sample form:Sample downloading
Legal basis:Regulations Governing Offshore Funds
Application process:Application flowchart
Documents required to be attached:
  1. Application form
  2. Basic data of offshore funds (Please refer to attachment 1 for contents and format)
  3. The review list for the offshore fund general agency to apply for placement and sale of offshore funds (Please refer to attachment 2 for contents and format)
  4. Certificate documents of the qualifications of the offshore fund general agency in compliance with article 9 of Regulations Governing Offshore Funds.
  5. The general agency contract signed between offshore fund institute and general agency
  6. The personnel training plan signed between offshore fund institute and general agency.
  7. Certificate documents of the operating bonds deposited by the general agency as regulated.
  8. The statement to claim the compliance of the sales institute’s qualifications, and the sales contract. In the case that there is more than one sales institute, a detailed list shall be submitted.
  9. Certificate documents showing placement approval from offshore fund’s registration place.
  10. The detailed list if more than one offshore fund is applied for placement and sale.
  11.  Information including the offshore fund’s latest year’s financial reports and their simple Chinese translation, portfolios, precautions to be taken by investors, and prospectus along with Chinese translation.
  12. Certificate documents of offshore fund administration institute’s compliance with article 24 of Regulations Governing Offshore Funds.。
  13. Statement documents issued by the offshore fund institute to claim that it will meet FSC’s requirements to provide account books of the offshore fund institute’s offshore fund purchase, repurchase and switch, and information relating to investors’ rights and interests for FSC to review.
  14. Statement issued by the offshore fund administration institute to claim its compliance with subparagraph 1 through 5 of paragraph 1 of article 23 of Regulations Governing Offshore Funds.
  15. The latest financial reports of the offshore fund administration institute.
  16. Certificate documents to show the credit rating grade of the offshore fund’s custodian institute.
  17. The opinion issued by the attorney to comment that the protection of investor’s rights and interests from the fund’s registration place is not less than that from the R.O.C.
  18. The opinion issued by the attorney to comment that the protection of investor’s rights and interests from the fund administration institute’s registration place is not less than that from the R.O.C.
  19. Certificate documents of the admission to Securities Investment Trust & Consulting Association of the R.O.C. (hereunder referred to as the Association). However, those who have already been the member of the Association can be exempt from the certificate documents.
  20. The general agency’s self-check list (Please refer to attachment 3 for the contents and format) and the statement to claim content correctness and integration (Please refer to attachment 4 for the contents and format)
  21. Other documents required to be submitted as regulated by FSC 
     
Related Q&A: 
Contact person:Tel. No.:  02-87735100 begin_of_the_skype_highlighting              02-87735100      end_of_the_skype_highlighting  Ext. 7159
Latest updated date:January 22,2009

Visitor: 3625   Update: 2017-10-12
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