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structured note
Definition
Translation of "structured note" in Chinese
Definition NEW
The firm's self-owned capital adequacy ratio is less than 200 percent, and it executes trades in a manner not conforming with its own procedures governing convertible bond asset swap or structured note trading, its own procedures for handling trading of derivatives products, or the rules of its own internal control system or internal auditing procedures.
（三） 自有资本适足比率未达百分之二百、未依本身针对转换公司债资产交换或结构型商品交易所订定之处理程序或本身从事衍生性商品交易处理程序规定或内部控制、内部稽核制度规定执行者。
8 A securities firm may not engage in convertible bond asset swap or structured note trading with any of its directors, supervisors, managers, or shareholders holding 10 percent or more of its issued shares, or with such persons of the issuer of linked shares, or with the spouse or minor children of any of the aforementioned persons, or others in whose names shares are held by such persons, or with any investee company in which it directly or indirectly holds 10 percent or more of the total shares.
8 八、证券商不得与本公司或连结股票发行公司之董事、监察人、经理人或直接或间接持有其股份总额百分之十以上之股东、前述身分者之配偶、未成年子女及利用他人名义持有者，或其直接或间接持有股份总额百分之十以上之转投资公司从事转换公司债资产交换或结构型商品交易。
Before engaging in structured note trading with a trading counterpart, a securities firm shall first enter into a master agreement with the trading counterpart, and shall enter into separate contracts with the trading counterpart outlining the rights and obligations of both parties with regard to each trade to be undertaken.
证券商与交易相对人从事结构型商品交易前，应先与交易相对人签订总约定书，并与交易相对人针对将承作之交易分别签订契约以规范双方之权利与义务。
19 For a securities firm engaging in structured note trading, total unmatured contract principal may not exceed the applicable total principal for trades, while that in trading positions for equity-linked product trades or principal-guaranteed product trades shall not exceed two-thirds of the applicable total principal for trades.
19 十九、证券商经营结构型商品交易业务，其未到期契约本金总额，应不得超过所适用之承作总额度，且其股权连结商品交易或保本型商品交易部分各不得超过适用承作总额度之三分之二。
15 The content of the procedures under Point 14 shall set out basic principles and policies governing trades, and shall include limits on contract amounts for convertible bond asset swaps and structured note trading, both for aggregate totals and for individual trading counterparts; stop loss provisions on contracts, individually and in total; policies for selection and credit review of trading counterparts; hedging policies; procedures and essential factors in performance evaluation; market information equipment and data; accounting procedures and statement disclosure methods; background requirements for traders and risk management personnel and related provisions for their training; and clear demarcation of responsibility for approval of trades.
15 十五、第十四点应订定之处理程序内容中应记载之交易原则与方针，须包含从事转换公司债资产交换或结构型商品交易之全部或单一交易相对人之契约限额、全部或个别契约之停损规定、交易相对人筛选与征信政策、避险策略、绩效评估程序与要领、行情信息设备与资料、会计处理及报表揭露方式、交易与风险控管人员之经验要求与相关训练规定，以及核定交易之权责划分等规定。
11 A securities firm engaging in convertible bond asset swap or structured note trading shall enter information on the trade in the prescribed format into the GreTai information system on the date the contract is transacted, the date of early termination of the contract, and the date of its expiry.
11 十一、证券商从事转换公司债资产交换或结构型商品交易，应于契约成交日、提前解约日及到期日将其成交信息依规定之格式输入本中心资讯系统。
For foreign securities firms engaging in convertible bond asset swap or structured note trading operations, the net worth of its Taiwan branch shall be taken as the benchmark for determining the total unmatured contract principal allowable as pursuant to the preceding paragraph.
外国证券商经营转换公司债或结构型商品交易业务，其未到期契约本金总额应以在台分支机构之净值为基准，比照前项规定办理。
Securities firms engaging in structured note trading shall enter hedging information in the prescribed format into the GreTai information system daily for the duration of the trading contract.
证券商从事结构型商品交易者，应于交易契约存续期间透过本中心信息系统依规定之格式逐日申报避险信息。
The application and attached materials required for securities firms applying to engage in convertible bond asset swap and structured note trading operations in accordance with the preceding paragraph are shown in Appendices 2 and 3.
证券商依前项规定申办转换公司债资产交换或结构型商品交易业务，其应提出之申请书件与检附资料如附表二、三。
Before engaging in convertible bond asset swap or structured note trading operations, a securities firm shall complete necessary revisions to its internal control system and internal auditing procedures. Points relevant to such revisions will be separately promulgated by GreTai.
证券商于开始经营转换公司债资产交换或结构型商品交易业务前，应配合完成其内部控制、内部稽核制度之修订。相关之控制与稽核重点由本中心另订之。
Engaging in convertible bond asset swap or structured note trading while having failed to submit an application to the GreTai and obtain approval pursuant to Point 3, paragraph 1.
（一） 未依第三点第一项规定向本中心提出申请并获得核准，而擅自经营转换公司债资产交换或结构型商品交易业务者。
Securities firms engaging in structured note trading operations that have linked foreign-currency financial products shall obtain approval from the Central Bank of China.
证券商经营结构型商品交易业务而有连结外币金融商品者，应经中央银行许可。
10 Before a securities firm engages in convertible bond asset swap trading with a trading counterpart or when payment in securities is the exercise method of a structured note, the trading counterpart shall first complete account opening procedures in accordance with Chapter 4, Section 3 of the GreTai Market Regulations.
10 十、证券商与交易相对人从事转换公司债资产交换前或结构型商品履约方式采证券给付时，应由交易相对人依本中心业务规则第四章第三节之规定先完成开户作业。
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