保險公證人管理規則

These Regulations are adopted pursuant to paragraph 4 of Article 163 of the Insurance Act.

1The term “insurance surveyor” (hereinafter, “surveyor”) as used in these Regulations means “surveyor” as defined in Article 10 of the Insurance Act.

2The term "independent surveyor" as used in these Regulations shall mean a person who practices insurance surveyor business in his or her own name.

3The term " surveyor company" as used in these Regulations shall mean a company operating insurance surveyor business in the capacity of a corporate organization.

A surveyor who has not obtained a practice license in accordance with these Regulations shall not practice.

1Surveyors are divided into general surveyors and marine surveyors.

2A “general surveyor” means a person who collects fees from insurers or the insured, and on behalf thereof inspects, assesses, and appraises the subject-matter insured of non-marine insurance, adjusts and negotiates claims, and gives attestation thereof.

3A “marine surveyor” means a person who collects fees from insurers or the insured, and on behalf thereof inspects, assesses, and appraises the subject-matter insured of marine insurance, adjusts and negotiates claims, and gives attestation thereof.

1A surveyor shall possess one of the following qualifications:

21. Has passed the Examination for Professionals and Technical Personnel in the category of surveyor;

32. Has previously passed a surveyor qualification test held by the competent authority;

43. Has previously obtained a surveyor practice license and practiced thereunder;

54. Holding a document evidencing having passed the Examinations for Professionals and Technical Personnel in the category of technician and having practiced for not less than 5 years;

65. Has previously served as captain of a ship with gross tonnage of not less than 10,000 tons for not less than 5 years; and

76. Has previously granted a foreign surveyor practice license or certification of qualification recognized by the competent authority.

8A person possessing the qualifications specified in subparagraph 3 of the preceding paragraph shall be restricted to practicing the same type of business. A person possessing the qualifications specified in subparagraph 4 of the preceding paragraph may practice surveyor business that is related to the person’s own field only. A person possessing the qualifications specified in subparagraph 5 or 6 of the preceding paragraph may practice marine insurance surveyor business only.

1A person having any of the following situations may not serve as a surveyor or act as a responsible person of a surveyor company:

21. Having no legal capacity or limited legal capacity or subject to the court order of commencement of assistance and such order has not been revoked.

32. Having committed a crime under the Organized Crime Prevention Act, and has been found guilty by a final and unappealable judgment.

43. Having been sentenced to imprisonment for counterfeiting currency or valuable securities, embezzlement, fraud or breach of trust and the sentence has not been completed or ten years have not elapsed since the date of sentence completion, the expiration of probation period, or the pardon of such punishment.

54. Having received a final and unappealable sentence for violating Insurance Act, Banking Act, Financial Holding Company Act, Trust Enterprise Act, Act Governing Bills Finance Business, Financial Asset Securitization Act, Real Estate Securitization Act, Securities and Exchange Act, Futures Trading Act, Securities Investment Trust and Consulting Act, Foreign Exchange Regulation Act, Credit Cooperative Act, Agricultural Finance Act, Farmers Association Act, Fishermen Association Act, Money Laundering Control Act, or any other laws regulating financial activity, and the sentence has not been completed or five years have not elapsed since the date of sentence completion, the expiration of probation period, or the pardon of such punishment.

6

1A person possessing a surveyor qualification as set out in these Regulations and free of the situations provided in any subparagraph of paragraph 1 of the preceding article may, after obtaining a practice license, practice business independently or as an employee of a corporate a surveyor company organization.

2A surveyor company shall employ at least one surveyor to serve as a signatory, and carry out registration of permission with the competent authority. The company shall make appropriate adjustments to the number of such persons according to the scale of its business and the quality of business. When necessary, the competent authority also may require the company to employ additional surveyors to serve as signatories.

3After completing the registration of permission set out in the preceding paragraph, it shall duly carry out registration of incorporation with the appropriate competent authority in charge of company registration.

4No surveyor may serve as a signatory for two or more companies concurrently.

1An independent surveyor shall submit the following documents to carry out registration of permission with the competent authority:

21. An application form.

32. Certification showing that the qualification requirements set out in these Regulations are met.

43. Certification of pre-service education and training recognized by the competent authority obtained within the last two years; a person whose certification of pre-service education and training was obtained more than two years ago may submit the already obtained certification of pre-service education and training along with certification of in-service education and training under Article 25; a person who carries out registration of permission with the qualification set out in Article 5, paragraph 1, subparagraph 3 may submit a certification of in-service education and training set out in Article 25 herein;

54. Proof of identity.

65. A business plan.

76. A written statement undertaking the absence of situations provided in paragraph 1 of Article 6.

8

1A surveyor company shall carry the wording “insurance survey” in its name, except for surveyor companies that have been approved and registered with the competent authority to operate surveyor business.

2A surveyor company shall submit the following documents to the competent authority for registration of permission:

31. An application form.

42. A photocopy of the valid practice license of surveyors employed or certification showing that surveyors employed meet the qualification requirements set out in these Regulations and any of the following certifications:

5(1) Certification of pre-job training, obtained within the past 2 year before submission of the application and recognized by the competent authority;

6(2) For an employed surveyor whose certification of pre-job education and training was obtained more than two years ago, submit such certification along with certification of on-the-job training under Article 25; or

7(3) Where registration of permission is based on the qualifications set out in subparagraph 3, paragraph 1 of Article 5 herein, certification of on-the-job training set out in Article 25 herein.

8

1A surveyor company shall have one general manager in charge of managing the overall operations of the company and shall not have other officers in comparable position.

2The general manager referred to in the preceding paragraph shall not act concurrently as the chairman or general manager of other surveyor companies.

3The general manager of a surveyor company shall possess one of the following qualifications:

41. Has graduated from a domestic or foreign school at the level of junior college or higher or possessing equivalent academic qualifications, and having no less than five years of experience working for an insurance company, insurance cooperative, insurance broker company, insurance agent company, or surveyor company;

52. Has graduated from a domestic or foreign school at the level of junior college or higher or possesses equivalent academic qualifications, and has served for no less than five years as a signatory for an insurance surveyor; or

63. Having other factual evidence sufficient to show professional insurance expertise or insurance work experience that enables him or her to operate an insurance surveyor business soundly and effectively.

7The appointment or dismissal of the general manager mentioned in the preceding paragraph shall be duly registered with the competent authority in charge of company registration.

1The chairman of a surveyor company, at least one third of its directors and supervisors, sales-related vice general manager, managers of branch offices or officers in comparable positions shall possess one of the following qualifications:

21. Has graduated from a domestic or foreign school at the level of junior college or higher or possesses equivalent academic qualifications, and has no less than three years of insurance company, insurance cooperative, insurance broker company, insurance agent company, or surveyor company work experience.

32. Has graduated from a domestic or foreign school at the level of junior college or higher or possesses equivalent academic qualifications, and has served for no less than two years as a signatory for an insurance surveyor.

43. There is other factual evidence sufficient to prove professional insurance expertise or insurance work experience, and capability for safe, sound, and effective operation of an insurance surveyor business.

1Where there is a change of chairman, director, supervisor, general manager or managers of branch office, a surveyor company shall submit a written statement undertaking that the new appointee is free of situations set out in any of the subparagraphs of paragraph 1, Article 6 and documents evidencing compliance with qualifications provided in the preceding two articles to the surveyors association for recordation within fifteen days after the change.

2A surveyor company shall report changes to place of business or paid-in capital to the surveyors association for recordation within fifteen days after registration of the change (with the appropriate authority); the preceding paragraph applies when an independent surveyor changes his or her place of business.

3The directions for the reporting operations set out in the preceding two paragraphs shall be drawn up by the surveyors association, and submitted to the competent authority for recordation; the preceding provision shall apply to any amendment to those directions.

1When a surveyor employed by a surveyor company ceases to serve as a signatory for the company, the surveyor company shall, within fifteen days after the employed surveyor departs, report to the competent authority and surrender the practice license of the departed surveyor, and report same to the surveyors association for recordation.

2When a surveyor company employs an additional surveyor or changes a surveyor, and such new surveyor already has a practice license, the surveyor company shall report to the surveyors association for recordation within seven days after employing the additional surveyor or changing the surveyor.

3The surveyors association shall prescribe directions for the reporting operation under the two preceding paragraphs.

A surveyor company applying to operate surveyor business shall have minimum paid-in capital of NT$2 million. The capital contributions of promoters and shareholders shall be limited to cash.

The bond deposited by a surveyor company will be returned upon duly made application only after liquidation of the company is completed according to law, and the practice license is surrendered and cancelled; provided, an independent surveyor may apply for return of the bond after he has ceased practice and his practice license has been surrendered and cancelled.

A surveyor shall apply to the competent authority for issuance of a practice license and commence operating or practicing business within six months of the date of registration of permission. If the surveyor has not yet applied or has not yet commenced operation or practice at the end of this period, the competent authority will revoke its registration.

1A surveyor company having any of the following situations shall submit an application together with its board of directors’ or shareholders’ meeting minutes to the competent authority for approval and register with competent authority in charge of company registration to law:

21. Suspending.

32. Resuming business.

43. Dissolved.

5An independent surveyor who ceases business shall, within fifteen days after the fact, file a report with the competent authority and surrender his or her practice license.

6A surveyor company may suspend its business up to one year, and where there is legitimate reason, may apply for an extension of business suspension period once. The application for extension shall be made fifteen days before the allowed suspension period expires.

7Where a surveyor company fails to apply for business resumption and employ a surveyor to serve as a signatory in accordance with Article 7 before the allowed suspension period expires, the competent authority will revoke its registration and cancel its practice license.

8

1Upon applying to the competent authority for the issuance of a practice license, an independent surveyor shall pay the fees set by the competent authority and submit the following documents:

21. An application form.

32. The proof of the deposit of bond and a duplicate of an insurance policy showing the purchase of professional liability insurance.

43. Certification showing membership in the surveyors association in accordance with Article 33.

1Upon applying to the competent authority for the issuance of a practice license, a surveyor company shall pay the fees set by the competent authority and submit the following documents:

21. An application form;

32. The proof of the deposit of bond and a duplicate of an insurance policy showing the purchase of professional liability insurance;

43. Company registration form and a list of directors, supervisors and general manager;

54. A written statement undertaking that its directors and supervisors are free of the situations set out any of the subparagraphs of paragraph 1, Article 6 and proofs submitted by its chairman, general manager and employed surveyors that they are free of the situations set out in subparagraphs 10 and 11 of paragraph 1, Article 6 herein;

65. Certification showing membership in the insurance surveyors association in accordance with Article 36 herein; and

76. Other documents as required by the competent authority.

1The practice license of independent surveyors and surveyors employed by a surveyor company is valid for a period of five years. A surveyor may not practice business unless he or she has completed the procedures for license renewal before the current practice license expires.

2Upon applying for renewal of practice license, a surveyor shall pay the fees set by the competent authority and submit the following documents:

31. The original practice license.

42. Certification of on-the-job training recognized by the competent authority.

53. The proof of the deposit of bond and a duplicate of an insurance policy showing the purchase of professional liability insurance;

64. The consolidated income tax returns of the surveyor (listing sources of income) for the past three years, tax withholding statements accompanied by an affidavit, or other documents proving that he or she has actually practiced the business.

75. Written statement of the non-existence of the circumstances listed in paragraph 1 of Article 6.

8

1The competent authority may not renew a practice license if the applying surveyor has any of the following circumstances:

21. Violate paragraph 2 of Article 165 of the Insurance Act.

32. Any of the circumstances listed in paragraph 1 of Article 6.

43. Violation of paragraph 2 or 4 of Article 7 herein.

54. Failure to apply for renewal of the practice license within the time limit specified in Article 20.

65. Failure to file business and financial statements in accordance with Article 32.

76. Failure to pay administrative fines, annual supervisory fees, examination fees, or other fees.

87. Other circumstances as provided by the competent authority.

A surveyor who possesses the qualifications of both a general surveyor and a marine surveyor may concurrently obtain a practice license for both general surveyor and marine surveyor.

Training is divided into pre-job training and on-the-job training.

1Independent surveyor or surveyors employed by a surveyor company shall have attended at least 32 hours of pre-job training and passed tests within the past 1 year before submission of the application.

2Pre-job training may be conducted by the Taiwan Insurance Institute or a university or college extension education institution. The guidelines and content for such training shall be submitted to the competent authority for approval.

1Independent surveyors or surveyors employed by a surveyor company shall have attended not less than 32 hours of pre-service education and training during the two years before applying to practice.

2Pre-service education and training may be conducted by the Insurance Institute of the Republic of China or a university or college extension education institution. The guidelines and content for such education and training shall be submitted to the competent authority for approval.

When practicing, a surveyor shall place his or her signature on survey reports and other relevant documents and duly bear any related liability.

A surveyor shall be independent and impartial in practice, shall give consideration to the interests of both the insurer and the insured, and shall abide by the principle of good faith. He or she shall be obligated to faithfully inspect and evaluate business undertaken, and shall not engage in any improper practice or neglect his or her rightful professional duties.

A surveyor shall not engage in surveying business for his or her own interest or for a principal with whom he or she has an interest relationship.

Business undertaken by a surveyor shall not be re-consigned to another surveyor without the written consent of the principal.

1In practicing surveying business, a surveyor shall preserve survey reports for inspection by the competent authority.

2All documents to be preserved under the preceding paragraph shall be preserved for no less than 5 years, provided that where otherwise specified by an act or regulation, such other provision shall apply.

1A surveyor shall have a fixed place of business that shall not be located within the head office or branch office of an insurance company.

2Where a surveyor company changes any registered item on the company practice license, it shall, within 30 days, submit an amendment registration form and pay the fees set by the competent authority for replacement of the practice license.

3Surveyors shall prominently display the originals of their practice licenses at their places of business.

4Independent surveyors shall display the originals or photocopies of their practice licenses and service certifications when practicing business.

1A surveyor shall set up special account books to record business income and expenditures and shall compile the various business and financial statements and submit them to the competent authority or the institution designated thereby within the time limit set by the competent authority; the formats of the statements shall be separately prescribed by the competent authority.

2The competent authority may from time to time send personnel to inspect the operations and assets and liabilities of surveyors or order them to report the status of their operations within a time limit.

3The competent authority may from time to time send personnel to inspect the operations and assets and liabilities of surveyors or order them to report the status of their operations within a time limit. With respect to the inspection opinions of the competent authority or deficiencies identified by the competent authority in an inspection, a surveyor shall take specific improvement actions and continue to follow up on the actions taken, and report the implementation of improvement actions to the competent authority within the time period prescribed by the competent authority. The surveyor company shall submit a written report on the follow-up of improvement actions taken to its board of directors and supervisors or audit committee for review.

1After obtaining registration of permission with the competent authority, a surveyor shall join the surveyors association.

2A surveyor who has not joined the surveyors association and obtained a membership certificate in accordance with the preceding paragraph may not apply for a practice license to operate or practice in business.

1When the surveyors association is established or holds reelections, it shall report its articles of incorporation, list of members, and list of directors and supervisors to both the Ministry of the Interior and the competent authority for recordation.

2The surveyors associations shall disclose on its website the name, capital, place of business of its member companies, operating bonds deposited and liability insurance purchased by members companies and other matters as required by the competent authority.

1A surveyor company that has not been sanctioned by the competent authority within the last one year for violating an act or regulation may apply to the competent authority for approval to establish a branch office.

2A surveyor company that applies for the establishment of a branch office shall employ a surveyor to serve as a signatory and submit the following documents to the competent authority for registration of permission:

31. An application form clearly stating the name and location of the branch office.

42. The minutes of the board of directors meeting resolving to establish the branch office.

53. Proof of identity for the designated managers of branch offices and proof of their compliance with the qualification requirements set out in Article 11 herein.

64. A photocopy of the valid practice license of surveyors employed or certification showing that any surveyors employed meet the qualification requirements set out in these Regulations and any of the following certifications:

7(1) Certification of pre-job training, obtained within the past 2 year before submission of the application and recognized by the competent authority;

8

When a surveyor company plans to establish a subsidiary, branch office, or representative office or makes equity investment in a foreign country, relevant provisions of the Regulations Governing Permission of Insurance Business Transactions and Investment Between the Taiwan Area and the Mainland Area shall apply mutatis mutandis with respect to application criteria, required documentation, financial and business management, etc.

1A surveyor shall not commit any of the following acts:

21. Make a false representation when applying for a practice license.

32. Collect extra remuneration from a party to or interested party of an insurance contract.

43. Provide the practice license for use by others.

54. Make exaggerated, false, or misleading claims or advertisements or use other improper methods when engaging in business.

65. Issue a false survey report for his or her own benefit or that of a third party.

76. Have been sentenced to punishment for embezzlement, fraud, breach of trust, or forgery.

87. Operate insurance business outside the scope specified on his or her practice license.

98. Authorize a third party to operate or practice business on his/her/its behalf, or conduct business in other’s name.

A surveyor who has not carried out registration of permission with the competent authority, deposited bond and purchased professional liability insurance, and granted a practice license in accordance with these Regulations may not operate or practice the insurance surveyor business; the same applies where the practice license of the surveyor has been cancelled or revoked by the competent authority.

Where necessary, the competent authority may approve the establishment of branch offices within the territory of the Republic of China by a foreign insurance surveyor institution having an corporate entity to operate the same kind of business operated in its home country.

1A foreign insurance surveyor institution applying to establish a branch office within the territory of the Republic of China shall possess the following qualifications:

21. Having had sound operational performance and secure financial capacity in the three years prior to application; and

32. Free of the record of being disciplined (by the authority) due to major violation in the past three years as substantiated by the competent authority of its home country.

1A foreign insurance surveyor institution applying for approval to establish a branch office within the territory of the Republic of China to operate insurance surveyor business shall submit two copies of the following documents to the competent authority for review:

21. Foreign surveyor company's application for approval.

32. Documentary proof that the competent authority or agency of its home country has approved the registration of the applicant's incorporation as well as the scope of its business operations.

43. Documents showing the names, nationalities, positions, and residences or domiciles of the major responsible persons of the head office.

54. Documents evidencing that establishment of a branch office in the Republic of China has been approved by the competent authority or agency of its home country and agreed by its board of directors.

65. The articles of incorporation of the head office.

76. A business plan.

87. A photocopy of the valid practice license of surveyors employed or certification showing that surveyors employed meet the qualification requirements set out in these Regulations and any of the following certifications:

The head office of a foreign surveyor company shall appropriate funds of not less than NT$2 million exclusively for the business operation of each branch office established according to its business plan.

1The head office of a foreign surveyor company shall, within six months of permission, remit the funds for business operations of its branch office according to the preceding article, and apply to the competent authority in charge of company registration for registration of branch office establishment.

2For those foreign surveyor companies that fail to apply for registration with the competent authority within the time period prescribed in the preceding paragraph, or fail to obtain approval from the competent authority in charge of company registration, the competent authority may revoke the permission.

3Those that have completed the registration procedure under the first paragraph hereof shall, after depositing a bond and purchasing professional liability insurance, apply for and obtain a practice license from the competent authority by submitting a Branch Office Incorporation Registration Form and the fee as set by the competent authority. Those that have obtained a practice license shall carry out business registration in accordance with relevant acts and regulations.

A foreign insurance surveyor institution establishing a branch office to operate business within the territory of the Republic of China shall employ at least one person holding a Republic of China surveyor’s practice license of the same type to practice the business.

Provisions of other related chapters of these Regulations shall apply mutatis mutandis to matters regarding foreign insurance surveyors on which this chapter is silent.

1The appointment or promotion of the responsible persons of a surveyor company shall meet the requirements set out in paragraph 1 of Article 6, Articles 10 and 11; one appointed or promoted without meeting those requirements shall be discharged.

2Any responsible person of a surveyor company who has a situation in any subparagraph of paragraph 1, Article 6 after promotion or appointment shall be discharged.

3If an independent surveyor or a surveyor employed by a surveyor company does not comply with paragraph 1 of Article 6 herein, the competent authority may revoke his or her permit and cancel his or her practice license.

These Regulations shall be in force from the date of promulgation.