Standards Governing the Establishment of Futures Commission Merchants Article 30

Domestic securities firms applying for a branch office to concurrently operate futures business shall apply to the FSC by furnishing the following documents:1. an application form;2. articles of incorporation;3. a business plan stating: futures business operation principles, the method of risk management, the division of responsibilities among the applicant's internal departments, personnel recruiting and training, a general description of its business facilities, and financial forecasts for the futures department for the current year and the next year;4. rules governing how to separate the risks associated with the securities and futures businesses, and how to handle conflicts of interest;5. minutes of shareholders or directors meetings;6. [a description of the] internal control system for operating futures business, provided that when the internal control system is the same as that submitted in the previous application for operation of futures business concurrently at a branch office, this requirement shall not apply;7. the financial report for the most recent period, audited and attested by a certified public accountant;8. documents showing compliance with the provisions of Article 13, paragraph 2, subparagraph 6;9. documents showing compliance with the provisions of Article 13, paragraph 2, subparagraph 7;10. documents showing compliance with the provisions of Article 24, paragraph 1, subparagraph 6;11. a case check-list form; and12. other documents required by the regulations of the FSC.