Standards Governing the Establishment of Futures Trust Enterprises Article 16
To establish a futures trust enterprise, the promoters shall apply to the competent authority for permission by filling out and submitting an application form, together with the following documents:1.Articles of incorporation.2.Business plan, specifying: the futures trust enterprise's operational principles; plans for the offering and issuance of futures trust funds and plans for business development for the coming 2 years; internal organization and segregation of duties; personnel recruitment and training plan; general description of premises and facilities; and financial forecasts for the first fiscal year after establishment and the following fiscal year.3.A register of promoters, specifying: name (individual or company), national ID (or alien Resident Certificate, alien permanent resident certificate, or passport) number or government uniform invoice (GUI) number, address or company location, capital contribution, and subscription ratio. For natural-person promoters, the application must be accompanied by documentary proof of identify; for juristic-person promoters, the application must be accompanied by articles of incorporation, photocopy of documentary proof of incorporation registration, documentary proof of status as an ongoing concern, letter of appointment of the representative and letter of acceptance from the appointed person, CPA-audited and attested financial report for the last fiscal year, register of directors, register of supervisors, register of major shareholders with a shareholding of 3% or higher, and register of affiliated enterprises.4.Promoters meeting minutes.5.Documentary proof of the qualification requirements of promoter(s) complying with Article 12.6.Written statement(s) that none of the circumstances in Article 5 hereof exists, and that no provision of Article 6 or 7 hereof or Article 11 of the Regulations Governing Futures Trust Enterprises is violated, with respect to any of the promoters7.Written statement(s) that no provision of Article 13 is violated with respect to any promoter(s) not falling under Article 12 hereof.8.If a juristic-person promoter's duties are to be exercised by a representative or designated representative, the application shall be accompanied by a written statement that none of the circumstances in Article 5 hereof exists with respect thereto.9.Documentary proof that the funds have been deposited pursuant to the preceding Article.10.Review checklist for the application for establishment of the Futures Trust Enterprise, reviewed by a lawyer or CPA, and the summary opinion issued by the reviewer.11.Written statement that the particulars set out in the application and its attachments contain no misrepresentation or nondisclosure.
中文原文 期貨信託事業設置標準第16條
期貨信託事業之設置，發起人應填具申請書，並檢具下列書件，向主管機關申請許可：
一、公司章程。
二、營業計畫書：載明期貨信託事業之經營原則、未來二年內期貨信託基金募集發行計畫及業務發展計畫、內部組織分工、人員招募與訓練計畫、場地設備概況及開業當年度與次年度財務狀況之預估。
三、發起人名冊：載明姓名或公司名稱、身分證（外僑居留證、永久居留證或護照）號碼或公司統一編號、住址或本公司所在地、出資額及認股比率。
自然人發起人應檢附身分證明文件；法人發起人應檢附公司章程、公司設立登記證明文件、繼續營業之證明文件、代表人出任之指派書及被指派人同意書、經會計師查核簽證之最近一年度財務報告、董事名冊、監察人名冊、持股百分之三以上主要股東名冊及關係企業名冊。
四、發起人會議紀錄。
五、符合第十二條規定之發起人資格證明文件。
六、發起人無第五條規定情事且無違反第六條、第七條及期貨信託事業管理規則第十一條規定之聲明書。
七、第十二條規定以外之發起人無違反第十三條規定之聲明書。
八、法人發起人之代表人或指定代表行使職務時，無第五條規定情事之聲明書。
九、已依前條規定存入款項之證明文件。
十、經律師或會計師審查之期貨信託事業申請設置審查表及出具之審查彙總意見書。
十一、申請書及附件所載事項無虛偽或隱匿之聲明書。
一、公司章程。
二、營業計畫書：載明期貨信託事業之經營原則、未來二年內期貨信託基金募集發行計畫及業務發展計畫、內部組織分工、人員招募與訓練計畫、場地設備概況及開業當年度與次年度財務狀況之預估。
三、發起人名冊：載明姓名或公司名稱、身分證（外僑居留證、永久居留證或護照）號碼或公司統一編號、住址或本公司所在地、出資額及認股比率。
自然人發起人應檢附身分證明文件；法人發起人應檢附公司章程、公司設立登記證明文件、繼續營業之證明文件、代表人出任之指派書及被指派人同意書、經會計師查核簽證之最近一年度財務報告、董事名冊、監察人名冊、持股百分之三以上主要股東名冊及關係企業名冊。
四、發起人會議紀錄。
五、符合第十二條規定之發起人資格證明文件。
六、發起人無第五條規定情事且無違反第六條、第七條及期貨信託事業管理規則第十一條規定之聲明書。
七、第十二條規定以外之發起人無違反第十三條規定之聲明書。
八、法人發起人之代表人或指定代表行使職務時，無第五條規定情事之聲明書。
九、已依前條規定存入款項之證明文件。
十、經律師或會計師審查之期貨信託事業申請設置審查表及出具之審查彙總意見書。
十一、申請書及附件所載事項無虛偽或隱匿之聲明書。