Standards Governing the Establishment of Futures Trust Enterprises Article 42
To apply to establish a branch unit(s) to conduct the business of offering and selling beneficial certificates of futures trust funds, a futures trust enterprise shall apply to the competent authority for permission by filling out and submitting the application form, together with the following documents:1.Articles of incorporation.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 to establish a branch unit to conduct the business of offering and selling beneficial certificates of futures trust funds.4.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.5.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 establishment of a branch unit.6.Review checklist for the application by a futures trust enterprise to establish a branch unit to conduct the offering and sale of beneficial certificates of futures trust funds .7.Written statement that the particulars set out in the application and its attachments contain no misrepresentation or nondisclosure.
中文原文 期貨信託事業設置標準第42條
期貨信託事業設置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、公司章程。
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、載明設置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、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。
五、分支機構內部控制制度。
但與前次申請許可設置分支機構時檢具之內部控制制度相同者免附。
六、期貨信託事業申請設置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。
七、申請書及附件所載事項無虛偽或隱匿之聲明書。
一、公司章程。
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、載明設置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、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。
五、分支機構內部控制制度。
但與前次申請許可設置分支機構時檢具之內部控制制度相同者免附。
六、期貨信託事業申請設置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。
七、申請書及附件所載事項無虛偽或隱匿之聲明書。