Standards Governing the Establishment of Futures Commission Merchants Article 29
Domestic securities firms applying for concurrent operation of futures business shall be required, within 6 months from the date on which the FSC grants the approval, to furnish the following documents to the FSC for issuance of a business license:1. an application form;2. a photocopy of the securities firm's approval and license certificate;3. [a description of the] internal control system for the operation of futures business;4. a list of the managers and associated persons who will be involved in the administration of futures business, and their qualification documents;5. a statement from each manager and associated person who will be involved in the administration of futures business declaring that he/she does not fall within any of the categories under Article 4;6. documents showing that the operating bond required under Article 14 of the Regulations Governing Futures Commission Merchants has been deposited;7. documents showing that the applicant has immediate access to the information of the trading market and the transmission equipment essential to trading;8. documents showing that the applicant has permission to engage in the trading of futures in a futures exchange;9. documents showing that the applicant has permission to process settlement and clearing with a futures clearing house;10. the financial report for the most recent period, audited and attested by a certified public accountant; provided, however, that when the financial report submitted at the time of application was for the same period, this requirement shall not apply;11. documents showing compliance with the provisions of Article 6;12. documents showing compliance with the provisions of Article 24, paragraph 1, subparagraph 6;13. documents showing compliance with the provisions of Article 25;14. a case check-list form;15. other documents required by the regulations of the FSC.Where a domestic securities firm fails to apply for approval and issuance of a business license to concurrently operate futures business within the time limit specified in the preceding paragraph, the 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 granted only once.
中文原文 期貨商設置標準第29條
本國證券商申請兼營期貨業務，應自本會許可之日起六個月內檢具下列書件，向本會申請核發許可證照：
一、申請書。
二、證券商許可證照影本。
三、經營期貨業務之內部控制制度。
四、辦理期貨業務之經理人與業務員名冊及資格證明文件。
五、辦理期貨業務之經理人及業務員無第四條規定情事之聲明文件。
六、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。
七、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。
八、得於期貨交易所從事期貨交易之證明文件。
九、得向期貨結算機構辦理結算交割之證明文件。
十、最近期經會計師查核簽證之財務報告。
但與申請許可時檢具之財務報告為同期者免附。
十一、符合第六條規定之證明文件。
十二、符合第二十四條第六款規定之證明文件。
十三、符合第二十五條規定之證明文件。
十四、案件檢查表。
十五、其他經本會規定應提出之文件。
本國證券商未於前項期間內申請核發兼營期貨業務許可證照者，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、證券商許可證照影本。
三、經營期貨業務之內部控制制度。
四、辦理期貨業務之經理人與業務員名冊及資格證明文件。
五、辦理期貨業務之經理人及業務員無第四條規定情事之聲明文件。
六、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。
七、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。
八、得於期貨交易所從事期貨交易之證明文件。
九、得向期貨結算機構辦理結算交割之證明文件。
十、最近期經會計師查核簽證之財務報告。
但與申請許可時檢具之財務報告為同期者免附。
十一、符合第六條規定之證明文件。
十二、符合第二十四條第六款規定之證明文件。
十三、符合第二十五條規定之證明文件。
十四、案件檢查表。
十五、其他經本會規定應提出之文件。
本國證券商未於前項期間內申請核發兼營期貨業務許可證照者，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。