Standards Governing the Establishment of Futures Trust Enterprises Article 38
A trust enterprise that concurrently operates a futures trust enterprise and intends to apply to conduct business of offering and selling beneficial certificates of futures trust funds at an existing branch unit, shall apply to the competent authority for permission by filling out and submitting the application form, together with the following documents:1.Certificate of registration documenting that the branch unit is already established.2.Business plan, specifying with respect to the branch unit: the operational principles in the offering and sale of beneficial certificates of futures trust funds; internal organization and segregation of duties; personnel recruitment and training plan; general description of premises and facilities; and financial forecasts for the coming year.3.Minutes of the board of directors meeting specifying the resolution for the branch unit to conduct the offering and sale of beneficial certificates of futures trust funds.4.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.5.Written statement(s) that none of the circumstances in Article 5 hereof exists with respect to any associated person of the branch unit.6.Documentary proof that the requirement in Article 9 hereof is met.7.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.8.The internal control system of the branch unit. The internal control system is not required, however, if it is the same as the one submitted in the previous application for permission for the offering and sale of beneficial certificates of futures trust funds at an existing branch unit.9.Review checklist for the application by a trust enterprise to conduct the business of offering and selling beneficial certificates of futures trust funds at the branch unit.10.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 8 of the preceding paragraph shall set out the codes of conduct for, and rules governing concurrent appointment of, managerial officers and associated persons that handle the offering and sale of beneficial certificates of futures trust funds at the branch unit.Article 41 shall apply mutatis mutandis with respect to the qualifications required of a trust enterprise that concurrently operates a futures trust enterprise and applies to conduct business of offering and selling beneficial certificates of futures trust funds at an existing branch unit
中文原文 期貨信託事業設置標準第38條
兼營期貨信託事業之信託業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，應填具申請書，並檢具下列書件，向主管機關申請許可：
一、分支機構已設立之登記證明文件。
二、營業計畫書：應載明分支機構辦理期貨信託基金受益憑證之募集及銷售業務之經營原則、內部組織分工、人員招募與訓練計畫、場地設備概況及未來一年財務狀況之預估。
三、載明分支機構辦理期貨信託基金受益憑證之募集及銷售業務決議之董事會議事錄。
四、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。
五、分支機構業務員無第五條規定情事之聲明書。
六、符合第九條規定之證明文件。
七、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。
八、分支機構內部控制制度。
但與前次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內部控制制度相同者免附。
九、信託業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審查表。
十、申請書及附件所載事項無虛偽或隱匿之聲明書。
前項第八款內部控制制度應載明分支機構辦理期貨信託基金受益憑證之募集及銷售業務之經理人與業務員之行為及兼任規範。
兼營期貨信託事業之信託業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之案件，該信託業應具備之條件，準用第四十一條規定。
一、分支機構已設立之登記證明文件。
二、營業計畫書：應載明分支機構辦理期貨信託基金受益憑證之募集及銷售業務之經營原則、內部組織分工、人員招募與訓練計畫、場地設備概況及未來一年財務狀況之預估。
三、載明分支機構辦理期貨信託基金受益憑證之募集及銷售業務決議之董事會議事錄。
四、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。
五、分支機構業務員無第五條規定情事之聲明書。
六、符合第九條規定之證明文件。
七、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。
八、分支機構內部控制制度。
但與前次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內部控制制度相同者免附。
九、信託業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審查表。
十、申請書及附件所載事項無虛偽或隱匿之聲明書。
前項第八款內部控制制度應載明分支機構辦理期貨信託基金受益憑證之募集及銷售業務之經理人與業務員之行為及兼任規範。
兼營期貨信託事業之信託業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之案件，該信託業應具備之條件，準用第四十一條規定。