Standards Governing the Establishment of Managed Futures Enterprises Article 18
A futures broker, futures trust enterprise, securities investment trust enterprise, or securities investment consulting enterprise that applies to concurrently operate a managed futures enterprise shall fill out an application form with the following documents attached to apply for approval from the competent authority:1.An operations plan, setting out the operating principles for the managed futures enterprise, a business development plan for the business of the managed futures enterprise covering the following two years, its internal organization and divisions, a personnel recruiting and training plan, and a general description of the site and facilities.2.The minutes of the board of directors meeting at which it was resolved to concurrently operate a managed futures enterprise.3.A register of directors and supervisors.4.A CPA audited and attested financial report for the most recent period. When the application is submitted more than six months after the beginning of the fiscal year, a CPA audited and attested financial report for the first six months of the year shall also be submitted.5.An application review checklist.6.A declaration stating that the application form and attached documents contain no concealment or misrepresentation.The enterprises submitting applications pursuant to the preceding paragraph may at the same time apply for promotion and solicitation of business by existing branch units in relation to the business activities allowed for enterprises concurrently operating managed futures business. The required documents and procedures for approval of their applications and issuance of certificates of license shall be as in Articles 21 and 22.
中文原文 期貨經理事業設置標準第18條
期貨經紀商、期貨信託事業、證券投資信託事業及證券投資顧問事業申請兼營期貨經理事業，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：載明兼營期貨經理事業之經營原則、未來二年內兼營期貨經理事業之業務發展計畫、內部組織分工、人員招募與訓練計畫及場地設備概況。
二、載明兼營期貨經理事業決議之董事會議事錄。
三、董事及監察人名冊。
四、最近期經會計師查核簽證之財務報告。
申請時已逾年度開始六個月者，應加送上半年度經會計師查核簽證之財務報告。
五、案件審查表。
六、申請書及附件所載事項無虛偽或隱匿之聲明書。
前項所定事業得同時申請已設立之分支機構辦理兼營期貨經理事業所得經營業務之推廣及招攬；其申請許可及許可證照之書件及相關程序，依第二十一條及第二十二條規定辦理。
一、營業計畫書：載明兼營期貨經理事業之經營原則、未來二年內兼營期貨經理事業之業務發展計畫、內部組織分工、人員招募與訓練計畫及場地設備概況。
二、載明兼營期貨經理事業決議之董事會議事錄。
三、董事及監察人名冊。
四、最近期經會計師查核簽證之財務報告。
申請時已逾年度開始六個月者，應加送上半年度經會計師查核簽證之財務報告。
五、案件審查表。
六、申請書及附件所載事項無虛偽或隱匿之聲明書。
前項所定事業得同時申請已設立之分支機構辦理兼營期貨經理事業所得經營業務之推廣及招攬；其申請許可及許可證照之書件及相關程序，依第二十一條及第二十二條規定辦理。