Standards Governing the Establishment of Futures Trust Enterprises Article 23
To apply to concurrently operate a futures trust enterprise, a managed futures enterprise shall, within 6 months from the day the competent authority grants permission, duly amend its articles of incorporation and complete company amendment registration indicating the concurrent operation of a futures trust enterprise, 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.A photocopy of the letter of permission issued in response to the managed futures enterprise's application for concurrent operation of a futures trust enterprise, the articles of incorporation, and documentary proof of company amendment registration.2.Documentary proof that the chairperson and general manager meet the qualifications set forth under the Regulations Governing Futures Trust Enterprises.3.A list of the managerial officers, department supervisors, and associated persons to serve in the futures trust enterprise, issued by the Association after reviewing their qualifications, together with documentary proof of their qualifications.4.Written statement(s) that the managerial officers, department supervisors, and associated persons of the futures trust enterprise comply with Article 50 of the Regulations Governing Futures Trust Enterprises.5.Written statement(s) 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.6.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.7.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 of the futures trust enterprise.8.Written statement(s) that none of the circumstances in Article 5 hereof exists with respect to any associated person of the futures trust enterprise.9.Documentary proof that the requirement of Article 9 hereof is met.10.Documentary proof that an operating bond has been furnished in accordance with the requirements of Article 17 of the Regulations Governing Futures Trust Enterprises.11.The CPA-audited and attested financial report for the most recent period. The report is not required, however, if it covers the same period as that covered by the financial report submitted in the application for permission to concurrently operate a futures trust enterprise.12.A written description of the internal control system of the concurrently operated futures trust enterprise and an unqualified opinion issued by a CPA.13.Review checklist for the application by the managed futures enterprise for issuance of a permission license to concurrently operate a futures trust enterprise.14.Written statement that the particulars set out in the application and its attachments contain no misrepresentation or nondisclosure.The internal control system referred to in subparagraph 12 of the preceding paragraph shall set out precautionary procedures and risk segregation mechanisms to prohibit and prevent the occurrence of any conflict of interest with beneficial owners or clients or acts prejudicial to the rights or interests of beneficial owners or clients, in connection with codes of conduct, and rules governing concurrent appointment, of managerial officers and associated persons of the futures trust enterprise, information sharing, sharing of operating facilities or premises, or advertising, public informational meetings, and other business promotion activities.The permission granted to a managed futures enterprise to concurrently operate a futures trust enterprise will be revoked if the permission holder fails to apply for issuance of a permission license for such concurrent operation within the period set out in paragraph 1. 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.A managed futures enterprise permitted to concurrently operate a futures trust enterprise may not commence such operation unless and until it has become a member of the Association under the category of futures trust enterprise.
中文原文 期貨信託事業設置標準第23條
期貨經理事業申請兼營期貨信託事業，應自主管機關許可之日起六個月內，依法變更公司章程及辦妥兼營期貨信託事業之公司變更登記，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、期貨經理事業申請兼營期貨信託事業許可函影本、公司章程及公司變更登記證明文件。
二、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。
三、同業公會出具擔任期貨信託事業之經理人、部門主管與業務員資格審查合格之名冊及資格證明文件。
四、擔任期貨信託事業之經理人、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。
五、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。
六、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。
七、擔任期貨信託事業之經理人、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。
八、擔任期貨信託事業之業務員無第五條規定情事之聲明書。
九、符合第九條規定之證明文件。
十、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。
十一、最近期經會計師查核簽證之財務報告。
但與申請許可兼營期貨信託事業時檢具之財務報告為同期者免附。
十二、兼營期貨信託事業之內部控制制度及會計師出具無保留意見之審查意見書。
十三、期貨經理事業申請核發兼營期貨信託事業許可證照審查表。
十四、申請書及附件所載事項無虛偽或隱匿之聲明書。
前項第十二款內部控制制度應載明擔任期貨信託事業之經理人與業務員之行為及兼任規範、資訊交互運用、營業設備或營業場所之共用，或為廣告、公開說明會及其他營業促銷活動，不得與受益人或客戶利益衝突或有損害其權益之行為等防範作業及風險區隔事項。
期貨經理事業兼營期貨信託事業，未於第一項所定期間內向主管機關申請核發兼營期貨信託事業許可證照者，廢止其兼營許可。
但有正當理由，於期限屆滿前，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。
期貨經理事業兼營期貨信託事業，非以期貨信託事業之業別，加入同業公會，不得開辦期貨信託業務。
一、期貨經理事業申請兼營期貨信託事業許可函影本、公司章程及公司變更登記證明文件。
二、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。
三、同業公會出具擔任期貨信託事業之經理人、部門主管與業務員資格審查合格之名冊及資格證明文件。
四、擔任期貨信託事業之經理人、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。
五、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。
六、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。
七、擔任期貨信託事業之經理人、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。
八、擔任期貨信託事業之業務員無第五條規定情事之聲明書。
九、符合第九條規定之證明文件。
十、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。
十一、最近期經會計師查核簽證之財務報告。
但與申請許可兼營期貨信託事業時檢具之財務報告為同期者免附。
十二、兼營期貨信託事業之內部控制制度及會計師出具無保留意見之審查意見書。
十三、期貨經理事業申請核發兼營期貨信託事業許可證照審查表。
十四、申請書及附件所載事項無虛偽或隱匿之聲明書。
前項第十二款內部控制制度應載明擔任期貨信託事業之經理人與業務員之行為及兼任規範、資訊交互運用、營業設備或營業場所之共用，或為廣告、公開說明會及其他營業促銷活動，不得與受益人或客戶利益衝突或有損害其權益之行為等防範作業及風險區隔事項。
期貨經理事業兼營期貨信託事業，未於第一項所定期間內向主管機關申請核發兼營期貨信託事業許可證照者，廢止其兼營許可。
但有正當理由，於期限屆滿前，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。
期貨經理事業兼營期貨信託事業，非以期貨信託事業之業別，加入同業公會，不得開辦期貨信託業務。