第2條 任何人非經行政院金融監督管理委員會(以下簡稱本會)核准或向本會申報生效後，不得在中華民國境內(以下簡稱國內)代理募集及銷售境外基金。
Article 2 No person may act as an agent for the offering and sale of offshore funds within the territory of the Republic of China ("Taiwan") without having first obtained approval from, or effective registration with, the Financial Supervisory Commission (FSC), Executive Yuan.
第3條 境外基金管理機構或其指定機構(以下簡稱境外基金機構)應委任單一之總代理人在國內代理其基金之募集及銷售。
Article 3 An offshore fund manager or an institution appointed by the offshore fund manager ("offshore fund institution") shall appoint a single master agent to represent it in the offering and sale of its funds in Taiwan
總代理人得在國內代理一個以上境外基金機構之基金募集及銷售。
A master agent may represent one or more offshore fund institutions in offering and selling funds thereof in Taiwan.
銷售機構得在國內代理一個以上境外基金之募集及銷售。
A sub-distributor may handle the offering and sale of one or more offshore funds in Taiwan.
信託業依特定金錢信託契約及證券經紀商依受託買賣外國有價證券契約受託投資境外基金者，除本辦法另有規定外，應適用本辦法總代理人或銷售機構之相關規定。
Unless otherwise provided in these Regulations, the provisions hereof concerning master agents or sub-distributors shall apply to investment in offshore funds through trust enterprises under non-discretionary trust of money agreements or through securities brokers under foreign securities brokerage agreements.
銷售機構受理境外基金投資人之申購、買回或轉換等事宜，除信託業依特定金錢信託契約及證券經紀商依受託買賣外國有價證券契約受託投資境外基金者外，應經總代理人轉送境外基金機構辦理。
Except in cases of investment in offshore funds through trust enterprises under non-discretionary trust of money agreements or through securities brokers under foreign securities brokerage agreements, a sub-distributor handling the purchase, redemption, or transfer of an offshore fund by investors shall transmit the matters to the offshore fund via the master agent.
證券投資顧問事業除擔任銷售機構者外，辦理境外基金之投資顧問業務，應與總代理人簽訂提供資訊合作契約，其契約應行記載事項，由中華民國證券投資信託暨顧問商業同業公會(以下簡稱同業公會)擬訂，報經本會核定；修正時，亦同。
A SICE that is not also acting as a sub-distributor shall sign an information sharing contract with the master agent for purposes of engaging in the business of providing investment consulting services for offshore funds.
Required content of such contracts, and any subsequent amendments thereto, shall be drafted by the securities Investment Trust and Consulting Association (SITCA) and ratified by the FSC.
第一項境外基金應以經本會核准或申報生效得募集及銷售者為限。
Offshore funds referred to in paragraph l shall be limited to offshore funds that have been approved by, or effectively registered with, the FSC for offering and sale.
第5條 總代理人、銷售機構及其經理人或受僱人，應以善良管理人之注意義務及忠實義務，本誠實信用原則，代理境外基金募集及銷售。
Article 5 The master agent, sub-distributors, and managers or employees of the master agent or sub-distributors shall handle the offering and sale of offshore funds in good faith and with a fiduciary duty of loyalty and duty of care of a good administrator.
前項事業及其人員於辦理境外基金募集及銷售業務時，對於境外基金投資人之個人資料、往來交易資料及其他相關資料，除法令另有規定外，應保守秘密。
Unless otherwise provided by law or regulation, when handling the offering and sale of offshore funds, the enterprises and personnel thereof referred to in the preceding paragraph shall keep confidential all personal information, transaction information, and other relevant information of investors in offshore funds.
第6條 總代理人、銷售機構及證券集中保管事業對於一定金額以上或疑似洗錢之境外基金交易，其申購、買回或轉換應留存完整正確之交易紀錄及憑證，並應依洗錢防制法規定辦理。
Article 6 The master agent, the sub-distributor, and the centralized securities depository enterprise shall maintain complete and accurate transaction records and documents regarding the purchase, redemption, or conversion of offshore funds in any transaction of a specific amount or higher, or suspected of money laundering, and shall comply with the provisions of the Money Laundering Control Act.
第7條 總代理人依本辦法規定應公告之事項，應經由本會指定之資訊傳輸系統進行傳輸完成公告。
Article 7 Matters required to be publicly announced by the master agent pursuant to the Securities Investment Trust and Consulting Act shall be publicly announced by transmission through the information transmission system designated by the FSC.
境外基金機構應與其所委任之總代理人簽訂人員培訓計畫，其計畫要點由同業公會擬訂，報經本會核定；修正時，亦同。
The offshore fund institution shall draw up and sign a personnel training program with its master agent.
Directions for such training programs, and any subsequent amendments thereto, shall be drafted by the SITCA and ratified by the FSC.
證券經紀商依本辦法擔任境外基金總代理人，得與投資人簽訂受託買賣外國有價證券契約為之。
A securities broker acting as a master agent under these Regulations may sign brokerage agreements for investment in foreign securities with its investors.
第一項擔任總代理人之證券經紀商，應加入同業公會。
A securities brokers acting as a master agent under paragraph 1 shall join the SITCA.
第9條 總代理人應符合下列資格條件：
Article 9 A master agent shall meet the following qualifications:
二、最近期經會計師查核簽證之財務報告每股淨值不低於面額。
2.
Have net worth per share of not less than par value according to the most recent CPA audited and certified financial report;
三、具有即時取得境外基金機構投資及相關交易資訊之必要資訊傳輸設備。
3.
Have the necessary information transmission facilities for real-time access to investment and relevant transaction information of the offshore fund institution;
四、最近半年未曾受本法第一百零三條第一款規定、證券交易法第六十六條第一款規定、期貨交易法第一百條第一項第一款規定、信託業法第四十四條第一項第一款或銀行法第六十一條之一第一項規定糾正並限期改善三次以上之處分。
4.
Have not been subject three times or more within the past half year to any disposition imposing a reprimand and requirement of improvements within a specified time limit, or any more severe disposition, under Article 103, subparagraph 1, of the Securities Investment Trust and Consulting Act, Article 66, subparagraph 1, of the Securities and Exchange Act, Article 100, paragraph 1, subparagraph 1, of the Futures Trading Act, Article 44, paragraph 1, subparagraph 1 of the Trust Enterprise Act, or Article 61-1, paragraph 1, of the Banking Act.
五、最近二年未曾受本法第一百零三條第二款規定以上、證券交易法第六十六條第二款規定以上、期貨交易法第一百條第一項第二款規定以上、信託業法第四十四條第一項第二款、第二項規定或銀行法第六十一條之一第一項第一款規定以上之處分。
但本會命令解除職員職務之處分，不在此限。
5.
Have not within the past two years been subject to a disposition as set out in Article 103, subparagraph 2, of the Securities Investment Trust and Consulting Act, Article 66, subparagraph 2, of the Securities and Exchange Act, Article 100, paragraph 1, subparagraph 2, of the Futures Trading Act, Article 44, paragraph 1, subparagraph 2, or paragraph 2, of the Trust Enterprise Act, or Article 61-1, paragraph 1, subparagraph 1 of the Banking Act, or a more severe disposition under such provisions.
However, this restriction does not extend to a disposition by the FSC ordering dismissal of personnel;
六、業務人員及內部稽核人員之資格條件及人數，應符合第十六條之規定。
6.
Have business personnel and internal auditors meeting the qualification and staffing requirements as set out in Article 16 hereof;
七、其他經本會規定應具備之資格條件。
7.
Have such other qualifications as may be prescribed by the FSC.
第10條 總代理人應依下列規定，向得辦理保管業務，並符合本會認可之信用評等機構評等達一定等級以上之金融機構提存營業保證金：
Article 10 The master agent shall post an operating bond as specified below with a financial institution permitted to provide custodian services and having a certain credit rating or higher from a credit rating agency recognized by the FSC: