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Securities Investment Trust Enterprise applying for Offering of Securities Investment Trust Fund

Name of the Application form:Securities Investment Trust Enterprise applying for Offering of Securities Investment Trust Fund
Responsible agency:Securities Investment Trust and Consulting Division, The Securities and Futures Bureau of Financial Supervisory Commission, Executive Yuan
Application forms available for downloading:
  1. Application 
  2. Claim 
  3. Review Sheet of Fund Offering of
  4. Content Required in the Fund-raising Plan 
  5. Letter of Lawyer’s Comments 
  6. Required information on current fund status for fund-raising
Sample form:Download Examples of Application Forms, Download Examples of Claims
Legal basis:Regulations Governing the Offering of Securities Investment Trust Funds by Securities Investment Trust Enterprises
Application process:Flow-chart of application approval proceduresFlow-chart of claim approval procedures
Documents required to be attached:
  1.  Application/ claim form.
  2. Review sheet for application of fund-raising/ additional fund-raising for securities investment.
  3. Plan of fund-raising or additional fund-raising.
  4. Contract for securities investment trust. 
  5.  Public manual and brief public manual (exempted if the fund-raising is done overseas or additional).
  6. Minute book of the board of directors regarding fund-raising or additional fund-raising for securities investment trust.
  7. A copy of certificate documents to show fund mangers’ compliance with the qualifications regulated in article 5 of Regulations Governing Responsible Persons and Associated Persons of Securities Investment Trust Enterprises 
  8.  Statement documents to show that the trust supervisors of the fund custodian institution or the trust enterprise concurrently engaging in securities investment trust business, which is approved to have the fund assets be under their own custody, are not in the situations as listed in article 22 of Securities Investment Trust and Consulting Act and article 59 of Regulations Governing Securities Investment Trust Funds. 
  9.  The justified opinion issued by the attorney to show no insufficiency occurs by comparing the protection of beneficiary’s rights and interests with the contract example on the part of the inconsistency between the fund trust contract and the contract example.
  10. Fund’s current status (applicable to those who add the placement) 
  11. Statement to declare that the contents of the documents of the funds applied (declared) for placement or addition are correctly and completely stated in accordance with latest laws and regulations.
  12. A copy of the agreement issued by Central Bank of the Republic of China (Taiwan). (Exemption if unavailable)
  13. Certificate documents to show the index authorization from the Index preparation company. (exemption if unavailable)
  14. A copy of the agreement issued by Taiwan Stock Exchange Corporation/ Gre Tai Securities Market on TSEC/OTC listing. (Exemption if unavailable).
  15. The participation contract signed between securities investment trust enterprise and participating securities firm (Exemption if unavailable)
  16. Basic data of foreign technology consulting contract and foreign technology consulting target, and data regarding issuance experiences (Exemption if unavailable)
  17. Statement to declare the committed foreign investment consulting company or group enterprise, the contract of the indirect trading with the foreign securities firm, and no involvement in discretionary investment services. (Exemption if unavailable).
  18. Review opinion from Securities Investment Trust & Consulting Association of the R.O.C. (Only applicable to the cases effective upon declaration)
  19. Statement to claim no variance in contents between the declaration documents and the ones submitted to Securities Investment Trust & Consulting Association of the R.O.C. for review (Only applicable to the cases effective upon declaration
  20. Other documents required to be submitted as regulated by SFC.
Related Q&A: 
Contact person:Telephone:(02)2774-7182
Latest updated date: 

Visitor: 7990   Update: 2017-10-12