Standards Governing the Establishment of Futures Commission Merchants Article 12
A futures commission merchant is required, within 6 months from the date on which the FSC grants an approval for its establishment, to complete its incorporation registration and furnish the following documents to the FSC for issuance of a license.1. an application form;2. articles of incorporation;3. [a description of] the internal control system;4. balance sheet and statement of major expenditures, audited and attested by a certified public accountant within 1 month before the date of application;5. list of shareholders;6. list of directors, and the minutes of board of directors meetings;7. list of supervisors;8. list of managers and associated persons, and their qualification documents;9. a statement from each director, supervisor, manager, and associated person declaring that he/she does not fall within any of the categories under Article 4;10. documents showing that the operating bond required under Article 14 of the Regulations Governing Futures Commission Merchants has been deposited;11. documents showing that the applicant has immediate access to the information of the trading market and the transmission equipment essential to trading;12. documents showing that the applicant has permission to engage in the trading of futures in a futures exchange;13. documents showing that the applicant has permission to process settlement and clearing with a futures clearing house;14. documents showing compliance with the provisions of Article 6;15. a case check-list form; and16. other documents required by the regulations of the FSC.Where a futures commission merchant fails to apply for a business license within the time limit specified in the preceding paragraph, the establishment approval shall be invalidated; provided, however, that where legitimate reasons exist, application for an extension may be submitted to the FSC prior to expiration of the time limit. Such extension shall not be longer than 6 months and may be applied for only once.
中文原文 期貨商設置標準第12條
期貨商之設置，應自本會許可之日起六個月內完成公司設立登記，並檢具下列書件，向本會申請核發許可證照：
一、申請書。
二、公司章程。
三、內部控制制度。
四、申請日前一個月內經會計師查核簽證之資產負債表及重大支出明細表。
五、股東名冊。
六、董事名冊及董事會議事錄。
七、監察人名冊。
八、經理人、業務員名冊及資格證明文件。
九、董事、監察人、經理人及業務員無第四條規定情事之聲明文件。
十、已依期貨商管理規則第十四條規定繳存營業保證金之證明文件。
十一、可即時取得交易市場資訊及具備從事交易必要傳輸設備之證明文件。
十二、得於期貨交易所從事期貨交易之證明文件。
十三、得向期貨結算機構辦理結算交割之證明文件。
十四、符合第六條規定之證明文件。
十五、案件檢查表。
十六、其他經本會規定應提出之文件。
期貨商未於前項期間內申請核發許可證照者，廢止其許可。
但有正當理由，在期限屆滿前，得申請本會延展，延展期限不得超過六個月，並以一次為限。
一、申請書。
二、公司章程。
三、內部控制制度。
四、申請日前一個月內經會計師查核簽證之資產負債表及重大支出明細表。
五、股東名冊。
六、董事名冊及董事會議事錄。
七、監察人名冊。
八、經理人、業務員名冊及資格證明文件。
九、董事、監察人、經理人及業務員無第四條規定情事之聲明文件。
十、已依期貨商管理規則第十四條規定繳存營業保證金之證明文件。
十一、可即時取得交易市場資訊及具備從事交易必要傳輸設備之證明文件。
十二、得於期貨交易所從事期貨交易之證明文件。
十三、得向期貨結算機構辦理結算交割之證明文件。
十四、符合第六條規定之證明文件。
十五、案件檢查表。
十六、其他經本會規定應提出之文件。
期貨商未於前項期間內申請核發許可證照者，廢止其許可。
但有正當理由，在期限屆滿前，得申請本會延展，延展期限不得超過六個月，並以一次為限。