Standards Governing the Establishment of Futures Commission Merchants Article 46
Futures commission merchants or other enterprises that concurrently operate futures business and apply for the addition of new types of operation shall be required, within 6 months from the date on which the FSC grants the approval, to complete the registration of the new business types in accordance with the acts and regulations and furnish the following documents to the FSC for issuance of a business license reflecting the new business types:1. an application form;2. a list of managers and associated persons who will be involved in the administration of futures business matters, and their qualification documents;3. a declaration that none of the managers or associated persons involved in administration of futures business matters falls within any of the categories under Article 4;4. documents showing that the operating bond required under Article 14 of the Regulations Governing Futures Commission Merchants has been deposited;5. documents showing allocation of additional exclusively earmarked operating capital;6. documents showing that the applicant has immediate access to the information of the trading market and the transmission equipment essential to trading;7. documents showing that the applicant has permission to engage in the trading of futures in a futures exchange;8. documents showing that the applicant has permission to process settlement and clearing with a futures clearing house;9. 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;10. documents showing compliance with the provisions of Article 6;11. where the applicant is a domestic securities firm, documents showing compliance with the provisions of Article 24, paragraph 1, subparagraph 6, and a photocopy of the firm's approval and license certificate;12. documents showing compliance with the provisions of Article 43, paragraph 1, subparagraph 5;13. a case check-list form; and14. other documents required by the regulations of the FSC.Where a futures commission merchant or other enterprise concurrently operating futures business fails to apply for a business license for the new business types 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46條
期貨商或他業兼營期貨業務者申請增加業務種類，應自本會許可之日起六個月內依法辦妥增加業務種類登記，並檢具下列書件，向本會申請換發增加業務種類許可證照：
一、申請書。
二、辦理期貨業務之經理人、業務員名冊及資格證明文件。
三、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。
四、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。
五、增撥專用營運資金之證明文件。
六、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。
七、得於期貨交易所從事期貨交易之證明文件。
八、得向期貨結算機構辦理結算交割之證明文件。
九、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、符合第六條規定之證明文件。
十一、本國證券商申請者，符合第二十四條第六款規定之證明文件及證券商許可證照影本。
十二、符合第四十三條第五款規定之證明文件。
十三、案件檢查表。
十四、其他經本會規定應提出之文件。
期貨商或他業兼營期貨業務者未於前項期間內申請換發增加業務種類之許可證照者，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、辦理期貨業務之經理人、業務員名冊及資格證明文件。
三、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。
四、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。
五、增撥專用營運資金之證明文件。
六、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。
七、得於期貨交易所從事期貨交易之證明文件。
八、得向期貨結算機構辦理結算交割之證明文件。
九、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、符合第六條規定之證明文件。
十一、本國證券商申請者，符合第二十四條第六款規定之證明文件及證券商許可證照影本。
十二、符合第四十三條第五款規定之證明文件。
十三、案件檢查表。
十四、其他經本會規定應提出之文件。
期貨商或他業兼營期貨業務者未於前項期間內申請換發增加業務種類之許可證照者，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。