Order of the Financial Supervisory Commission (FSC)

Issue date: 18 February 2014
Issue no.: Financial-Supervisory-Securities-Firms-10300032444

1. These directions are adopted pursuant to Article 5, paragraph 4 of the Regulations Governing Offshore Securities Branches.
2. An offshore securities branch's monthly balance sheets and monthly and quarterly business statements (see the format in the attachments).
3. An offshore securities branch, within 10 days after the end of each month, shall file the monthly statements referred to in the preceding paragraph through the Single Window for Securities Firm Filings.
4. After any foreign currency derivatives trade is executed, the offshore securities branch shall file the relevant information pursuant to the GreTai Securities Market Administration Rules for the Financial Derivative Trade Database.
5. This Order is effective from this day forward.

Originals: To be posted on the public notice boards of the FSC and the Securities and Futures Bureau of the FSC.
Copies: Central Bank of the Republic of China (Taiwan), Legal Affairs Committee, Executive Yuan; Taiwan Stock Exchange Corporation; GreTai Securities Market; Taiwan Depository & Clearing Corporation; Taiwan Securities Association; Securities Investment Trust and Consulting Association of the ROC; Bankers Association of the ROC; Trust Association of the ROC; Lex Data Information Inc.; FSC Financial Examination Bureau; FSC Banking Bureau; FSC Department of Legal Affairs; FSC Department of Information Management.