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Applications Process

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Application for licence of financial derivatives activities by a bank

2012-06-28
Name of the Application form：Application for licence of financial derivatives activities by a bank
Responsible agency：Foreign Bank Division, Banking Bureau, Financial Supervisory Commission
Application forms available for downloading：Application Form for Licence for Financial Derivatives Activities by the Bank(PDF)
Sample form：Download sample(DOC)
Legal basis：Laws and Regulations Retrieving System of the Banking Bureau(open new window)
Application process：Application Flow Chart(PDF)
Documents required to be attached：

I. Initial application involving across-strait relations or Taiwan stocks 

  1. Application Form;
  2. Statement of Compliance;
  3. Certificate proving that the bank’s capital adequacy ratio is not lower than the standard prescribed by the Banking Act.
  4. Certificate of Authorization by the Board of Directors (Governors) or other proper persons;
  5. Certificate proving the working experience of or specialized training received by the personnel in charge of the said derivatives activities;
  6. Business proposal:

    1. product instruction;
    2. departments concerned and internal organization thereof;
    3. risk management measures;
    4. accounting treatments and disclosure in the financial statements;
    5. internal audit.

 II. Non-initial application involving across-strait relations or Taiwan stocks: 

  1. Application Form;
  2. Statement of Compliance;
  3. Risk Disclosure Statement. 

III. Application for derivatives not involving across-strait relations, Taiwan stocks or foreign exchanges 

  1. Derivatives Specifications;
  2. Statement of Compliance;
  3. Risk Disclosure Statement.
    Note: Licence for the CBOC-licensed foreign exchange derivatives shall be applied for to the CBOC.
     
Related Q&A：None
Contact person：02-8968-9999
Latest updated date：July 1, 2012

 

Visitor： 5390 　 Update： 2014-04-11
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