Regulations Governing the Operation of Securities Introducing Broker Business by Futures Commission Merchants Article 17
A futures commission merchant applying for a branch unit to operate securities introducing broker business shall apply to the competent authority for a permission license within six months from the day the competent authority grants permission by filling out and submitting an application form together with the following documents:1.Photocopies of the permission license of the futures commission merchant's branch unit.2.A list of managerial officers and associated persons who will conduct the introducing broker business and documentation of their qualifications.3.A written declaration that none of the circumstances under Article 53 of the SEA applies with respect to any managerial officer who will conduct the introducing broker business.4.Documentation showing deposit of the operating bond in accordance with of Article 21.5.Documentation showing that the branch unit has the data transmission facilities necessary to operate securities introducing broker business.6.Documentation of the mandating securities firm's agreement to deposit the additional contribution to the clearing and settlement fund pursuant to Article 8, paragraph 2.7.A letter of consent stating that the branch unit agrees to allow audits of its finances, operations, and other necessary matters by the competent authority, the TWSE, the GTSM, or institutions designated by the competent authority, and to provide explanations and documents requested in connection with an audit by any of the aforementioned organizations.8.Documentation of compliance with Article 12, paragraph 1, subparagraph 5 of these Regulations.9.Documentation of compliance with Article 10 of these Regulations.10.A case checklist.11.A written declaration that the application form and attached documents contain no misrepresentation or nondisclosure.If a futures commission merchant fails to apply for the permission license within the period prescribed in the preceding paragraph, permission for operation of securities introducing broker business by its branch unit shall be revoked, provided that with legitimate reason, it may file an application with the competent authority for an extension before expiration of the period. Such extension may not exceed six months and will be granted only once.
中文原文 期貨商經營證券交易輔助業務管理規則第17條
期貨商申請其分支機構經營證券交易輔助業務，應自主管機關許可之日起六個月內，填具申請書並檢具下列書件，向主管機關申請核發許可證照：
一、期貨商分支機構許可證照影本。
二、辦理證券交易輔助業務之經理人與業務人員名冊及資格證明文件。
三、辦理證券交易輔助業務之經理人無本法第五十三條規定情事之聲明書。
四、已依第二十一條規定繳存營業保證金之證明文件。
五、具備經營證券交易輔助業務必要傳輸設備之證明文件。
六、委任證券商同意依第八條第二項規定增繳交割結算基金之證明文件。
七、同意主管機關、證券交易所、證券櫃檯買賣中心或主管機關指定之機構對其財務、業務及其他必要事項進行查核，及就前揭機構之查核提出說明及提供相關文件之同意函。
八、符合第十二條第一項第五款規定之證明文件。
九、符合第十條規定之證明文件。
十、案件審查表。
十一、申請書及附件所載事項無虛偽或隱匿之聲明書。
期貨商未於前項期間內申請核發許可證照者，廢止其分支機構經營證券交易輔助業務之許可。
但有正當理由，在期限屆滿前，得向主管機關申請展延，展延期限不得超過六個月，並以一次為限。
一、期貨商分支機構許可證照影本。
二、辦理證券交易輔助業務之經理人與業務人員名冊及資格證明文件。
三、辦理證券交易輔助業務之經理人無本法第五十三條規定情事之聲明書。
四、已依第二十一條規定繳存營業保證金之證明文件。
五、具備經營證券交易輔助業務必要傳輸設備之證明文件。
六、委任證券商同意依第八條第二項規定增繳交割結算基金之證明文件。
七、同意主管機關、證券交易所、證券櫃檯買賣中心或主管機關指定之機構對其財務、業務及其他必要事項進行查核，及就前揭機構之查核提出說明及提供相關文件之同意函。
八、符合第十二條第一項第五款規定之證明文件。
九、符合第十條規定之證明文件。
十、案件審查表。
十一、申請書及附件所載事項無虛偽或隱匿之聲明書。
期貨商未於前項期間內申請核發許可證照者，廢止其分支機構經營證券交易輔助業務之許可。
但有正當理由，在期限屆滿前，得向主管機關申請展延，展延期限不得超過六個月，並以一次為限。