Standards Governing the Establishment of Managed Futures Enterprises Article 19
Within six months after receiving approval from the competent authority, 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 amend its articles of incorporation and carry out the required amendments to company registration for concurrent operation of a managed futures enterprise. It shall also fill out an application form, with the following documents attached, and apply to the competent authority for a certificate of license:1.Its articles of incorporation and company registration amendment documents.2.A description of the internal control system for the managed futures enterprise and a review opinion from a CPA expressing an unqualified opinion.3.A CPA audited and attested financial report for the most recent period. The financial report need not be attached if for the same period as the report attached with the application for approval to operate a managed futures enterprise.4.A register, issued by the Futures Association, of the managerial officers and associated persons for the managed futures enterprise who have passed the review of their qualifications, with documentation showing their qualifications.5.A declaration stating that none of the circumstances in Article 5 applies with respect to the directors and supervisors or the persons serving as the managerial officers and associated persons of the managed futures enterprise.6.A declaration stating that for juristic person directors and supervisors, none of the circumstances of Article 5 apply to the juristic person's representatives or the persons designated by the juristic person when they carry out business on their behalf.7.A declaration stating that none of directors, supervisors, or persons serving as managerial officers of the managed futures enterprise have violated Article 55 of the Regulations Governing Managed Futures Enterprises.8.Documentation showing that the required operating bond has been lodged pursuant to Article 17 of the Regulations Governing Managed Futures Enterprises. When a futures broker or a securities investment consulting enterprise applies to concurrently operate a managed futures enterprise, it shall also submit documentation showing allocation of operating capital earmarked for that purpose in accordance with Article 15, paragraph 2 herein and documentation showing that paid-in capital conforms with the requirements of Article 15, paragraph 4 herein.9.Documentation showing compliance with the provisions of Article 7.10.A case review checklist.11.A declaration stating that the application and attachments contain no misrepresentation or concealment.The internal control system of subparagraph 2 of the preceding paragraph shall set out preventative measures and risk segregation measures to ensure that there are no conflicts with the interests of customers or with business of the enterprise other than the managed futures enterprise, and no occurrence of acts prejudicial to the rights or interests of customers, in connection with codes governing the concurrent appointment and conduct for persons serving as managerial officers and associated persons of the managed futures enterprise, the segregation of authority and duties between departments, information sharing, joint use of operating facilities or premises, procedures for handling of business-related disputes, or advertising, public information meetings, and other business promotion activities.The approval granted to the enterprises first named in paragraph 1 will be revoked upon failure to apply to the competent authority for the issuance of a certificate of license for concurrent operation of a managed futures enterprise within the time period set by paragraph 1. Given a legitimate reason, such an enterprise may apply to the competent authority for an extension prior to the deadline; such an extension shall not exceed six months and shall be granted one time only. A managed futures enterprise concurrently operated by an enterprise named in paragraph 1 that enters the Futures Association under any designation other than managed futures enterprise may not commence the business operations of a managed futures enterprise.
中文原文 期貨經理事業設置標準第19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，應自主管機關許可之日起六個月內，依法變更公司章程及辦妥兼營期貨經理事業之公司變更登記，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、公司章程及公司變更登記證明文件。
二、兼營期貨經理事業之內部控制制度及會計師出具無保留意見之審查意見書。
三、最近期經會計師查核簽證之財務報告。
但與申請許可兼營期貨經理事業時檢具之財務報告為同期者免附。
四、同業公會出具擔任期貨經理事業之經理人與業務員資格審查合格之名冊及資格證明文件。
五、董事、監察人及擔任期貨經理事業之經理人與業務員無第五條規定情事之聲明書。
六、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。
七、董事、監察人及擔任期貨經理事業之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。
八、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。
期貨經紀商及證券投資顧問事業申請兼營者，並應提出已依第十五條第二項規定指撥專用營運資金且其實收資本額符合第十五條第四項規定之證明文件。
九、符合第七條規定之證明文件。
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。
前項第二款內部控制制度應載明擔任期貨經理事業之經理人與業務員之行為及兼任規範、部門間之權責劃分、資訊交互運用、營業設備或營業場所之共用、業務紛爭處理程序，或為廣告、公開說明會及其他營業促銷活動，不得與客戶利益及非期貨經理事業之業務發生利益衝突或有損害客戶權益之行為等防範作業及風險區隔事項。
第一項所定事業兼營期貨經理事業，未於第一項所定期間內向主管機關申請核發兼營期貨經理事業許可證照者，廢止其兼營許可。
但有正當理由，於期限屆滿前，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。
第一項所定事業兼營期貨經理事業，非以期貨經理事業之業別，加入同業公會，不得開辦期貨經理事業之業務。
一、公司章程及公司變更登記證明文件。
二、兼營期貨經理事業之內部控制制度及會計師出具無保留意見之審查意見書。
三、最近期經會計師查核簽證之財務報告。
但與申請許可兼營期貨經理事業時檢具之財務報告為同期者免附。
四、同業公會出具擔任期貨經理事業之經理人與業務員資格審查合格之名冊及資格證明文件。
五、董事、監察人及擔任期貨經理事業之經理人與業務員無第五條規定情事之聲明書。
六、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。
七、董事、監察人及擔任期貨經理事業之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。
八、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。
期貨經紀商及證券投資顧問事業申請兼營者，並應提出已依第十五條第二項規定指撥專用營運資金且其實收資本額符合第十五條第四項規定之證明文件。
九、符合第七條規定之證明文件。
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。
前項第二款內部控制制度應載明擔任期貨經理事業之經理人與業務員之行為及兼任規範、部門間之權責劃分、資訊交互運用、營業設備或營業場所之共用、業務紛爭處理程序，或為廣告、公開說明會及其他營業促銷活動，不得與客戶利益及非期貨經理事業之業務發生利益衝突或有損害客戶權益之行為等防範作業及風險區隔事項。
第一項所定事業兼營期貨經理事業，未於第一項所定期間內向主管機關申請核發兼營期貨經理事業許可證照者，廢止其兼營許可。
但有正當理由，於期限屆滿前，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。
第一項所定事業兼營期貨經理事業，非以期貨經理事業之業別，加入同業公會，不得開辦期貨經理事業之業務。