Standards Governing the Establishment of Futures Commission Merchants Article 42
Foreign securities firms or financial institutions 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 description of the] internal control system for the operation of futures business;3. a list of managers and associated persons who will be involved in the administration of futures business matters, and their qualification documents;4. a statement from each manager and associated person who will be involved in the administration of futures business matters declaring that he/she does not fall within any of the categories under Article 4;5. documents showing that the operating bond required under Article 14 of the Regulations Governing Futures Commission Merchants has been deposited;6. documents showing compliance with Article 40;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. documents showing compliance with the provisions of Article 6;11. a case check-list form; and12. other documents required by the regulations of the FSC.Where a foreign securities firm or financial institution fails to apply for approval and issuance of a business license 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 applied for only once.
中文原文 期貨商設置標準第42條
外國證券商或金融機構申請其在中華民國境內設立之分支機構兼營期貨業務，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、經營期貨業務之內部控制制度。
三、辦理期貨業務之經理人、業務員名冊及資格證明文件。
四、辦理期貨業務之負責人及業務員無第四條規定情事之聲明文件。
五、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。
六、符合第四十條規定之證明文件。
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、符合第六條規定之證明文件。
十一、案件檢查表。
十二、其他經本會規定應提出之文件。
外國證券商或金融機構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。
二、經營期貨業務之內部控制制度。
三、辦理期貨業務之經理人、業務員名冊及資格證明文件。
四、辦理期貨業務之負責人及業務員無第四條規定情事之聲明文件。
五、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。
六、符合第四十條規定之證明文件。
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、符合第六條規定之證明文件。
十一、案件檢查表。
十二、其他經本會規定應提出之文件。
外國證券商或金融機構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。