Regulations Governing the Operation of Securities Introducing Broker Business by Futures Commission Merchants Article 13
A futures commission merchant applying to operate securities introducing broker business shall apply to the competent authority for permission by filling out and submitting an application form together with the following documents:1.A business plan specifying the principles of the securities introducing broker business, internal organization and segregation of duties, personnel recruitment and training plans, and the condition of the site and facilities.2.Minutes of the relevant board of directors meeting showing the resolution to operate securities introducing broker business.3.The mandate contract entered into with the mandating securities firm.4.Its financial report for the latest fiscal period, audited and attested (or reviewed) by a certified public accountant.5.Documentation of compliance with paragraph 1, subparagraph 5 of the preceding article.6.A case checklist.7.A written declaration that the application form and attached documents contain no misrepresentation or nondisclosure.
中文原文 期貨商經營證券交易輔助業務管理規則第13條
期貨商申請經營證券交易輔助業務，應填具申請書，並檢具下列書件，向主管機關申請許可：
一、營業計畫書：應載明經營證券交易輔助業務之原則、內部組織分工、人員招募與訓練計畫及場地設備概況。
二、載明經營證券交易輔助業務決議之董事會議事錄。
三、與委任證券商所簽訂之委任契約。
四、最近期經會計師查核簽證或核閱之財務報告。
五、符合前條第一項第五款規定之證明文件。
六、案件審查表。
七、申請書及附件所載事項無虛偽或隱匿之聲明書。
一、營業計畫書：應載明經營證券交易輔助業務之原則、內部組織分工、人員招募與訓練計畫及場地設備概況。
二、載明經營證券交易輔助業務決議之董事會議事錄。
三、與委任證券商所簽訂之委任契約。
四、最近期經會計師查核簽證或核閱之財務報告。
五、符合前條第一項第五款規定之證明文件。
六、案件審查表。
七、申請書及附件所載事項無虛偽或隱匿之聲明書。