Standards Governing the Establishment of Futures Trust Enterprises Article 31
A SITE that concurrently operates a futures trust enterprise and files an application under the preceding article shall, within 6 months from the day the competent authority grants permission, apply to the competent authority for issuance of a permission license to conduct the offering and sale of beneficial certificates of futures trust funds at the branch unit by filling out and submitting an application form, together with the following documents:1.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 for the offering and sale of beneficial certificates of futures trust funds at the existing branch unit.2.A list of the managerial officers, department supervisors, and associated persons of the branch unit, issued by the Association after reviewing their qualifications, together with documentary proof of their qualifications.3.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 branch unit.4.Written statement(s) that none of the circumstances in Article 5 hereof exists with respect to any associated person of the branch unit.5.Documentary proof that the requirement in Article 9 hereof is met.6.Review checklist for the application by the SITE for a permission license to conduct the business of offering and selling of beneficial certificates of future trust funds at the branch unit.7.Written statement that the particulars set out in the application and its attachments contain no misrepresentation or nondisclosure.The permission granted to a SITE that concurrently operates a futures trust enterprise for conducting the offering and selling of beneficial certificates of futures trust funds at a branch unit will be revoked if the permission holder fails to apply for issuance of a permission license for such business within the period set out in the preceding paragraph. 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 SITE that concurrently operates a futures trust enterprise and that has obtained a permission license to conduct the business of offering and selling beneficial certificates of future trust funds at a branch unit may not commence the operation of futures trust business at the branch unit unless and until it has filed with the Association for recordation.
中文原文 期貨信託事業設置標準第31條
兼營期貨信託事業之證券投資信託事業依前條規定提出申請者，應自主管機關許可之日起六個月內，填具申請書並檢具下列書件，向主管機關申請核發分支機構辦理期貨信託基金受益憑證之募集及銷售業務許可證照：
一、最近期經會計師查核簽證之財務報告。
但與申請許可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時檢具之財務報告為同期者免附。
二、同業公會出具之分支機構經理人、部門主管與業務員資格審查合格之名冊及資格證明文件。
三、分支機構經理人、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。
四、分支機構業務員無第五條規定情事之聲明書。
五、符合第九條規定之證明文件。
六、證券投資信託事業申請核發分支機構辦理期貨信託基金受益憑證之募集及銷售業務許可證照審查表。
七、申請書及附件所載事項無虛偽或隱匿之聲明書。
兼營期貨信託事業之證券投資信託事業未於前項所定期間內申請核發分支機構辦理期貨信託基金受益憑證之募集及銷售業務許可證照者，廢止其分支機構辦理該期貨信託業務之許可。
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。
兼營期貨信託事業之證券投資信託事業取得分支機構辦理期貨信託基金受益憑證之募集及銷售業務許可證照者，非向同業公會申報備查，該分支機構不得開始辦理期貨信託業務。
一、最近期經會計師查核簽證之財務報告。
但與申請許可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時檢具之財務報告為同期者免附。
二、同業公會出具之分支機構經理人、部門主管與業務員資格審查合格之名冊及資格證明文件。
三、分支機構經理人、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。
四、分支機構業務員無第五條規定情事之聲明書。
五、符合第九條規定之證明文件。
六、證券投資信託事業申請核發分支機構辦理期貨信託基金受益憑證之募集及銷售業務許可證照審查表。
七、申請書及附件所載事項無虛偽或隱匿之聲明書。
兼營期貨信託事業之證券投資信託事業未於前項所定期間內申請核發分支機構辦理期貨信託基金受益憑證之募集及銷售業務許可證照者，廢止其分支機構辦理該期貨信託業務之許可。
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。
兼營期貨信託事業之證券投資信託事業取得分支機構辦理期貨信託基金受益憑證之募集及銷售業務許可證照者，非向同業公會申報備查，該分支機構不得開始辦理期貨信託業務。