Standards Governing the Establishment of Managed Futures Enterprises Article 21
When a futures broker, futures trust enterprise, securities investment trust enterprise, or securities investment consulting enterprise that concurrently operates a managed futures enterprise applies for promotion and solicitation of business by existing branch units in relation to the business activities allowed for enterprises concurrently operating managed futures business, it shall apply to the competent authority for permission by filling out an application form with the following documents attached:1.The certificate of incorporation of the branch unit.2.An operations plan, setting out the operating principles by which the branch unit shall carry out promotions and solicitations in relation to the business activities allowed for the concurrent operation of a managed futures enterprise, its internal organization and divisions, a personnel recruiting and training plan, a general description of the site and facilities, and a financial status forecast for the first year of operations.3.The minutes of the board of directors meeting at which it was resolved that the branch unit could carry out promotions and solicitations in relation to the business activities allowed for the concurrent operation of a managed futures enterprise.4.A description of the internal control system for the branch unit. The internal control system need not be submitted, however, when it is the same as one submitted for the enterprise's previous application for permission for the branch unit to carry out promotions and solicitations in relation to the business activities allowed for the concurrent operation of a managed futures enterprise.5.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.6.A case review checklist.7.A declaration stating that the application form and attached documents contain no concealment or misrepresentation of fact.The internal control system under subparagraph 4 of the preceding paragraph shall include a code governing the concurrent duties and the conduct of the managerial officers and associated persons of the branch unit carrying out promotions and solicitations in relation to the business activities allowed for the concurrent operation of a managed futures enterprise. When the enterprises named in paragraph 1 apply for promotions and solicitations by a branch office in relation to the business activities allowed for the concurrent operation of a managed futures enterprise, the provisions of Article 24 will apply mutatis mutandis to the qualifications required for each such enterprise.
中文原文 期貨經理事業設置標準第21條
兼營期貨經理事業之期貨經紀商、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，應填具申請書，並檢具下列書件，向主管機關申請許可：
一、分支機構已設立之登記證明文件。
二、營業計畫書：應載明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之經營原則、內部組織分工、人員招募與訓練計畫、場地設備概況及未來一年財務狀況之預估。
三、載明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決議之董事會議事錄。
四、分支機構內部控制制度。
但與前次申請許可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時檢具之內部控制制度相同者免附。
五、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。
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。
前項第四款內部控制制度應載明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之經理人與業務員之行為與兼任規範。
第一項所定事業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之案件，各該事業應具備之條件，準用第二十四條規定。
一、分支機構已設立之登記證明文件。
二、營業計畫書：應載明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之經營原則、內部組織分工、人員招募與訓練計畫、場地設備概況及未來一年財務狀況之預估。
三、載明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決議之董事會議事錄。
四、分支機構內部控制制度。
但與前次申請許可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時檢具之內部控制制度相同者免附。
五、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。
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。
前項第四款內部控制制度應載明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之經理人與業務員之行為與兼任規範。
第一項所定事業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之案件，各該事業應具備之條件，準用第二十四條規定。