Standards Governing the Establishment of Futures Trust Enterprises Article 36
A trust enterprise 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; personnel recruitment and training plan; and general description of premises and facilities.2.Minutes of the board of directors meeting specifying the resolution to concurrently operate a futures trust enterprise. If the trust enterprise is a foreign bank, documents bearing the signature of an entity or person authorized by the head office may be submitted in lieu of the minutes.3.Register of directors and supervisors4.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 no circumstance 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. If the trust enterprise is a foreign bank, documents bearing the signature of an entity or person authorized by the head office may be submitted in lieu of written statements by the directors and supervisors.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 Enterprise 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 persons of the futures trust enterprise.9.Documentary proof that the requirement in Article 9 hereof is met.10.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.11.A written description of the internal control system of the concurrently operated futures trust enterprise and an unqualified opinion issued by a CPA.12.Review checklist for the trust enterprise's application to concurrently operate a futures trust enterprise.13.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 11 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.A trust enterprise 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 38 and 39 hereof.
中文原文 期貨信託事業設置標準第36條
信託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。
信託業為外國銀行者，得以總行授權單位或人員簽署之文件替代之。
三、董事及監察人名冊。
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。
信託業為外國銀行者，得以總行授權單位或人員簽署之文件代替董事、監察人之聲明書。
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、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。
十一、兼營期貨信託事業之內部控制制度及會計師出具之無保留意見之審查意見書。
十二、信託業申請兼營期貨信託事業審查表。
十三、申請書及附件所載事項無虛偽或隱匿之聲明書。
前項第十一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、公開說明書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。
信託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，依第三十八條及第三十九條規定辦理。
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。
信託業為外國銀行者，得以總行授權單位或人員簽署之文件替代之。
三、董事及監察人名冊。
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。
信託業為外國銀行者，得以總行授權單位或人員簽署之文件代替董事、監察人之聲明書。
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、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。
十一、兼營期貨信託事業之內部控制制度及會計師出具之無保留意見之審查意見書。
十二、信託業申請兼營期貨信託事業審查表。
十三、申請書及附件所載事項無虛偽或隱匿之聲明書。
前項第十一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、公開說明書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。
信託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，依第三十八條及第三十九條規定辦理。