Standards Governing the Establishment of Futures Trust Enterprises Article 28
A SITE intending to concurrently operate a futures trust enterprise shall apply to the competent authority for permission by filling out and submitting an application form, together with the following documents:1.Business plan, specifying: the operational principles for the concurrently operated futures trust enterprise; 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; plan for personnel recruitment and training plan; and general description of premises and facilities.2.Minutes of the board of directors meetings specifying the resolution to concurrently operate a futures trust enterprise.3.Register of directors and supervisors.4.Written statement(s) that there is no violation of Article 7 hereof or Article 11 of the Regulations Governing Futures Trusts Enterprises with respect to any shareholder holding 5% or more of total issued shares.5.The CPA-audited and attested financial report for the most recent period. If the date of application is more than 6 months past the start of the new fiscal year, the CPA-audited and attested financial report for the first half of the fiscal year shall additionally be submitted.6.Review checklist for the SITE's application to concurrently operate a futures trust enterprise.7.Written statement(s) that the particulars set out in the application and its attachments contain no misrepresentation or nondisclosure.A SITE may simultaneously apply to conduct the business of offering and selling beneficial certificates of futures trust funds at an existing branch unit. The documents and procedures for the application for permission and a permission license shall be as provided in Articles 30 and 31 hereof.
中文原文 期貨信託事業設置標準第28條
證券投資信託事業申請兼營期貨信託事業，應填具申請書，並檢具下列書件，向主管機關申請許可：
一、營業計畫書：載明兼營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及場地設備概況。
二、載明兼營期貨信託事業決議之董事會議事錄。
三、董事及監察人名冊。
四、持有已發行股份總數百分之五以上之股東無違反第七條及期貨信託事業管理規則第十一條規定之聲明書。
五、最近期經會計師查核簽證之財務報告。
申請時已逾年度開始六個月者，應加送上半年度經會計師查核簽證之財務報告。
六、證券投資信託事業申請兼營期貨信託事業審查表。
七、申請書及附件所載事項無虛偽或隱匿之聲明書。
證券投資信託事業得同時申請已設立之分支機構辦理期貨信託基金受益憑證之募集及銷售業務；其申請許可及許可證照之書件及相關程序，依第三十條及第三十一條規定辦理。
一、營業計畫書：載明兼營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及場地設備概況。
二、載明兼營期貨信託事業決議之董事會議事錄。
三、董事及監察人名冊。
四、持有已發行股份總數百分之五以上之股東無違反第七條及期貨信託事業管理規則第十一條規定之聲明書。
五、最近期經會計師查核簽證之財務報告。
申請時已逾年度開始六個月者，應加送上半年度經會計師查核簽證之財務報告。
六、證券投資信託事業申請兼營期貨信託事業審查表。
七、申請書及附件所載事項無虛偽或隱匿之聲明書。
證券投資信託事業得同時申請已設立之分支機構辦理期貨信託基金受益憑證之募集及銷售業務；其申請許可及許可證照之書件及相關程序，依第三十條及第三十一條規定辦理。