Standards Governing the Establishment of Futures Trust Enterprises Article 43
A futures trust enterprise applying to establish a branch unit to conduct the business of offering and selling beneficial certificates of futures trust funds shall, within 6 months from the day the competent authority grants permission, duly complete branch unit registration procedures and apply to the competent authority for issuance of a permission license for the branch unit by filling out and submitting an application form, together with the following documents:1.Documentary proof that the branch unit has been established.2.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 establishment of the branch unit.3.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.4.Written statement(s) that none of the circumstance 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.Review checklist for the application by the futures trust enterprise for issuance of a permission license for the branch unit to conduct the offering and sale of beneficial certificates of future trust funds.8.Written statement that the particulars set out in the application and its attachments contain no misrepresentation or nondisclosure.The permission granted to a futures trust enterprise for establishing a branch unit will be revoked if the futures trust enterprise fails to apply for issuance of a permission license for such branch unit 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.
中文原文 期貨信託事業設置標準第43條
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，應自主管機關許可之日起六個月內依法辦妥分支機構設立登記，並填具申請書及檢具下列書件，向主管機關申請核發分支機構許可證照：
一、分支機構設立登記證明文件。
二、最近期經會計師查核簽證之財務報告。
但與申請許可設置分支機構時檢具之財務報告為同期者免附。
三、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。
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、期貨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。
八、申請書及附件所載事項無虛偽或隱匿之聲明書。
期貨信託事業未於前項所定期間內申請核發分支機構許可證照者，廢止其分支機構之設置許可。
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。
一、分支機構設立登記證明文件。
二、最近期經會計師查核簽證之財務報告。
但與申請許可設置分支機構時檢具之財務報告為同期者免附。
三、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。
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、期貨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。
八、申請書及附件所載事項無虛偽或隱匿之聲明書。
期貨信託事業未於前項所定期間內申請核發分支機構許可證照者，廢止其分支機構之設置許可。
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。