Regulations Governing the Operation of Securities Introducing Broker Business by Futures Commission Merchants Article 16
A futures commission merchant applying for permission for operation of securities introducing broker business by a branch unit 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.The minutes of the relevant board of directors meetings showing the resolution to have a branch unit operate securities introducing broker business.3.The internal control system for the operation of securities introducing broker business by the branch unit, provided that the internal control system need not be submitted if it is identical to that submitted during the previous application for permission for operation of securities introducing broker business by a branch unit.4.The financial report for the latest fiscal period, audited and attested (or reviewed) by a certified public accountant.5.Documentation of compliance with Article 12, paragraph 1, subparagraph 5.6.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16條
期貨商申請其分支機構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：應載明分支機構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、載明分支機構經營證券交易輔助業務之董事會議事錄。
三、分支機構經營證券交易輔助業務之內部控制制度。
但與前次申請許可分支機構經營證券交易輔助業務檢具之內部控制制度相同者免附。
四、最近期經會計師查核簽證或核閱之財務報告。
五、符合第十二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：應載明分支機構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、載明分支機構經營證券交易輔助業務之董事會議事錄。
三、分支機構經營證券交易輔助業務之內部控制制度。
但與前次申請許可分支機構經營證券交易輔助業務檢具之內部控制制度相同者免附。
四、最近期經會計師查核簽證或核閱之財務報告。
五、符合第十二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。