[Translation].doc

PAGE  PAGE 7 [Translation] 臺灣期貨交易所股份有限公司「法人機構申請放寬部位限制作業要點」 Taiwan Futures Exchange Corporation Directions for the Handling of Applications by Institutional Investors for Position Limit Exemptions 條 文 Articles一、本作業要點依本公司上市之各期貨交易契約之交易規則(以下簡稱交易規則)訂定。 1. These Directions are prescribed pursuant to the Taiwan Futures Exchange (〝TAIFEX〞) trading rules for various listed futures trading contracts. (〝trading rules〞)二、法人機構因避險需求申請放寬交易規則之部位限制規定者，應檢具「法人機構申請放寬臺灣期貨交易所各期貨交易契約部位限制申請書」(如附表，以下簡稱申請書)，載明其應記載事項，連同應檢具文件，向本公司申請，俟本公司發給同意函後，始得放寬交易規則之部位限制規定。 2. If the institutional investor wishes to apply for an exemption to position limits for hedging purposes, the firm shall complete and submit the Application for an Institutional Investor applying for a TAIFEX Futures Contract Position Limit Exemption (see Attachment; hereinafter,〝the application form〞) together with the required supporting documentation to the TAIFEX. The institutional investor will be exempted from position limits required for each contract by their respective trading rules only after the TAIFEX has issued a letter of approval. 三、法人機構申請放寬部位限制，應於提出申請時檢具下列文件: (一)本國法人: 1.公司組織者，應檢具公司登記證明文件影本、商業登記證明文件影本。 2.本國證券投資信託事業為自己募集投資信託基金申請放寬部位限制者，應檢具基金成立備查函影本、稅捐機關核發之基金統一編號編配通知書影本。 3.其他非公司組織者，應檢具主管機關核准設立文件影本、稅捐機關核發之統一編號編配通知書影本。 (二)外國機構法人: 應檢具完成身分登記證明文件影本。 3. In applying for a position limit exemption, an institutional investor shall submit the following documents at the time of application: 3.1 Domestic institutional investors: 3.1.1 An entity organized as a company shall submit a photocopy of documentary proof of corporate registration and a photocopy of documentary proof of business registration. 3.1.2 A domestic securities investment trust enterprise applying for a position limit exemption for an investment trust fund publicly offered by itself shall submit a photocopy of the letter of recordation for the funds establishment and a photocopy of the Notice of Assignment of Government Uniform Invoic