Standards Governing the Establishment of Futures Trust Enterprises Article 17
To establish a futures trust enterprise, the enterprise shall, within 6 months from the day the competent authority grants permission, duly complete all company registration procedures and apply to the competent authority for issuance of a permission license by filling out and submitting an application form, together with the following documents:1.Documentary proof of incorporation registration;2.Articles of incorporation;3.Shareholders register and shareholders meeting minutes.4.Written statement(s) that none of the shareholders violates Article 13 hereof.5.Register of directors and supervisors, and minutes of the relevant board of directors meetings.6.A balance sheet and itemized statement of major expenditures reviewed by the CPA within 1 month prior to the date of application.7.Documentary proof of qualifications showing that the chairperson and general manager meet the qualifications set out in the Regulations Governing Futures Trust Enterprises.8.A list of the managerial officers, department supervisors, and associated persons, issued by the Association after reviewing their qualifications, together with documentary proof of their qualifications.9.Written statement(s) that the managerial officers, department supervisors, and associated persons comply with the provisions in Article 50 of the Regulations Governing Futures Trust Enterprises.10.Written statements that none of the circumstances in Article 5 hereof exists, and no provision of Article 7 hereof, or Article 11 or Article 56, paragraph 3 of the Regulations Governing Futures Trust Enterprises is violated, with respect to any director or supervisor.11.If a director or supervisor is a juristic person, a written statement that none of the circumstances in Article 5 hereof exists with respect to the representative or designated representative exercising duties on its behalf.12.Written statement(s) that none of the circumstances in Article 5 hereof exists, and no provision of Article 56, paragraph 3 of the Regulations Governing Futures Trust Enterprises is violated, with respect to any managerial officer or department supervisor.13.Written statement(s) that none of the circumstances in Article 5 hereof exists with respect to any associated person.14.Documentary proof that the requirement in Article 9 hereof is met.15.Documentary proof that an operating bond has been furnished in accordance with the requirements of Article 17 of the Regulations Governing Futures Trust Enterprises.16.A written description of the internal control system and an unqualified opinion issued by a CPA.17.Review checklist for the application by the futures trust enterprise for a permission license.18.Written statement that the particulars set out in the application and its attachments contain no misrepresentation or nondisclosure.If a futures trust enterprise fails to apply for a permission license within the time limit as prescribed in the preceding paragraph, its permission shall be revoked. Notwithstanding the foregoing, if there is legitimate reason, an application may be filed with the competent authority before expiration of that period for a maximum extension of 6 months, one time only.
中文原文 期貨信託事業設置標準第17條
期貨信託事業之設置，應自主管機關許可之日起六個月內依法辦妥公司設立登記，並填具申請書及檢具下列書件，向主管機關申請核發許可證照：
一、公司設立登記證明文件。
二、公司章程。
三、股東名冊及股東會議事錄。
四、股東無違反第十三條規定之聲明書。
五、董事、監察人名冊及董事會議事錄。
六、申請日前一個月內經會計師核閱之資產負債表及重大支出明細表。
七、董事長、總經理符合期貨信託事業管理規則規定之資格證明文件。
八、同業公會出具之經理人、部門主管與業務員資格審查合格之名冊及資格證明文件。
九、經理人、部門主管及業務員符合期貨信託事業管理規則第五十條規定之聲明書。
十、董事、監察人無第五條規定情事，無違反第七條規定，且無違反期貨信託事業管理規則第十一條與第五十六條第三項規定之聲明書。
十一、董事、監察人為法人者，其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。
十二、經理人、部門主管無第五條規定情事且無違反期貨信託事業管理規則第五十六條第三項規定之聲明書。
十三、業務員無第五條規定情事之聲明書。
十四、符合第九條規定之證明文件。
十五、已依期貨信託事業管理規則第十七條規定繳存營業保證金之證明文件。
十六、內部控制制度及會計師出具無保留意見之審查意見書。
十七、期貨信託事業申請核發許可證照審查表。
十八、申請書及附件所載事項無虛偽或隱匿之聲明書。
期貨信託事業未於前項所定期間內申請核發許可證照者，廢止其許可。
但有正當理由，在期限屆滿前，得向主管機關申請展延，展延期限不得超過六個月，並以一次為限。
一、公司設立登記證明文件。
二、公司章程。
三、股東名冊及股東會議事錄。
四、股東無違反第十三條規定之聲明書。
五、董事、監察人名冊及董事會議事錄。
六、申請日前一個月內經會計師核閱之資產負債表及重大支出明細表。
七、董事長、總經理符合期貨信託事業管理規則規定之資格證明文件。
八、同業公會出具之經理人、部門主管與業務員資格審查合格之名冊及資格證明文件。
九、經理人、部門主管及業務員符合期貨信託事業管理規則第五十條規定之聲明書。
十、董事、監察人無第五條規定情事，無違反第七條規定，且無違反期貨信託事業管理規則第十一條與第五十六條第三項規定之聲明書。
十一、董事、監察人為法人者，其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。
十二、經理人、部門主管無第五條規定情事且無違反期貨信託事業管理規則第五十六條第三項規定之聲明書。
十三、業務員無第五條規定情事之聲明書。
十四、符合第九條規定之證明文件。
十五、已依期貨信託事業管理規則第十七條規定繳存營業保證金之證明文件。
十六、內部控制制度及會計師出具無保留意見之審查意見書。
十七、期貨信託事業申請核發許可證照審查表。
十八、申請書及附件所載事項無虛偽或隱匿之聲明書。
期貨信託事業未於前項所定期間內申請核發許可證照者，廢止其許可。
但有正當理由，在期限屆滿前，得向主管機關申請展延，展延期限不得超過六個月，並以一次為限。