Standards Governing the Establishment of Managed Futures Enterprises Article 13
A managed futures enterprise shall complete its establishment registration in accordance with the law within six months from the date upon which it receives approval from the competent authority, and shall apply to the competent authority for issuance of a certificate of license by filling out an application form with the following documents attached:1.Evidentiary documents showing incorporation registration.2.The enterprise's articles of incorporation.3.A description of the internal control system and a CPA-issued review opinion expressing an unqualified opinion.4.A CPA-reviewed set of balance sheets and statement of major expenditures for the one-month period prior to application.5.A roster of shareholders and minutes of the shareholders meeting.6.A roster of directors and minutes of the directors meeting.7.A roster of supervisors.8.A register, issued by the Futures Association, of managers and associated persons who have passed the review of their qualifications, with documentation showing their qualifications.9.A declaration stating that the managers and associated persons are in compliance with Article 56 of the Regulations Governing Managed Futures Enterprises.10.A declaration stating that none of the circumstances in Article 5 applies with respect to the directors, supervisors, managers, or associated persons.11.When there are juristic person directors and supervisors, a declaration stating that none of the circumstances of Article 5 apply to the juristic person's representative or designated representative when they execute duties on the juristic person's behalf.12.A declaration stating that none of the directors, supervisors, or managers have violated Article 55 of the Regulations Governing Managed Futures Enterprises.13.Documentation showing deposit of the operating bond pursuant to Article 17 of the Regulations Governing Managed Futures Enterprises.14.Documentation showing compliance with the provisions of Article 9 herein.15.An application checklist.16.A declaration stating that the application form and attached documents contain no concealment or misrepresentation.Approval will be revoked for any managed futures enterprise failing to apply for a certificate of license within the period prescribed in the preceding paragraph, provided that with legitimate reasons, the enterprise may apply to the competent authority prior to the lapse of the application period for an extension, which shall not exceed six months and shall be granted one time only.
中文原文 期貨經理事業設置標準第13條
期貨經理事業之設置，應自主管機關許可之日起六個月內依法辦妥公司設立登記，並填具申請書及檢具下列書件，向主管機關申請核發許可證照：
一、公司設立登記證明文件。
二、公司章程。
三、內部控制制度及會計師出具無保留意見之審查意見書。
四、申請日前一個月經會計師核閱之資產負債表及重大支出明細表。
五、股東名冊及股東會議事錄。
六、董事名冊及董事會議事錄。
七、監察人名冊。
八、同業公會出具之經理人與業務員資格審查合格之名冊及資格證明文件。
九、經理人及業務員符合期貨經理事業管理規則第五十六條規定之聲明書。
十、董事、監察人、經理人及業務員無第五條規定情事之聲明書。
十一、董事、監察人為法人者，其代表人或指定代表行使職務時，無第五條規定情事之聲明書。
十二、董事、監察人及經理人無違反期貨經理事業管理規則第五十五條規定情事之聲明書。
十三、已依期貨經理事業管理規則第十七條規定繳存營業保證金之證明文件。
十四、符合第七條規定之證明文件。
十五、案件審查表。
十六、申請書及附件所載事項無虛偽或隱匿之聲明書。
期貨經理事業未於前項所定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、公司設立登記證明文件。
二、公司章程。
三、內部控制制度及會計師出具無保留意見之審查意見書。
四、申請日前一個月經會計師核閱之資產負債表及重大支出明細表。
五、股東名冊及股東會議事錄。
六、董事名冊及董事會議事錄。
七、監察人名冊。
八、同業公會出具之經理人與業務員資格審查合格之名冊及資格證明文件。
九、經理人及業務員符合期貨經理事業管理規則第五十六條規定之聲明書。
十、董事、監察人、經理人及業務員無第五條規定情事之聲明書。
十一、董事、監察人為法人者，其代表人或指定代表行使職務時，無第五條規定情事之聲明書。
十二、董事、監察人及經理人無違反期貨經理事業管理規則第五十五條規定情事之聲明書。
十三、已依期貨經理事業管理規則第十七條規定繳存營業保證金之證明文件。
十四、符合第七條規定之證明文件。
十五、案件審查表。
十六、申請書及附件所載事項無虛偽或隱匿之聲明書。
期貨經理事業未於前項所定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。