Standards Governing the Establishment of Managed Futures Enterprises Article 22
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 submits an application in accordance with the preceding article shall fill out an application form, attaching the following documents, and apply to the competent authority for a certificate of license for the promotions and solicitations by its branch office in relation to the business activities allowed for the concurrent operation of a managed futures enterprise:1.A CPA audited and attested financial report for the most recent period. The report need not be attached if it is for the same period as the report attached with the application for approval for existing branch units to promote and solicit business in relation to the business activities allowed for enterprises concurrently operating managed futures business.2.A register, issued by the Futures Association, of the managerial officers and associated persons for the branch unit who have passed the review of their qualifications, with documentation showing their qualifications.3.A declaration stating that none of the circumstances of Article 5 apply to the managerial officers and associated persons of the branch unit.4.A declaration stating that none of the managerial officers of the branch unit have violated Article 55 of the Regulations Governing Managed Futures Enterprises.5.Documentation showing compliance with the provisions of Article 7.6.A case review checklist.7.A declaration stating that the application and attachments contain no misrepresentation or concealment.An approval granted to an enterprises named in the preceding paragraph will be revoked upon failure to apply to the competent authority for the issuance of a certificate of license for the promotions and solicitations by its branch office in relation to the business activities allowed for the concurrent operation of a managed futures enterprise within the time period set by the preceding paragraph. With a legitimate reason, such an enterprise may apply to the competent authority for an extension prior to the deadline; such an extension may not exceed six months and shall be granted one time only. An enterprise named in paragraph 1 that obtains a certificate of license for promotions and solicitations by its branch office in relation to the business activities allowed for the concurrent operation of a managed futures enterprise but fails to carry out recordation of the matter with the Futures Association may not commence operating the business of a managed futures enterprise.
中文原文 期貨經理事業設置標準第22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，依前條規定提出申請者，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許可證照：
一、最近期經會計師查核簽證之財務報告。
但與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財務報告為同期者免附。
二、同業公會出具之分支機構經理人與業務員資格審查合格之名冊及資格證明文件。
三、分支機構經理人及業務員無第五條規定情事之聲明書。
四、分支機構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。
五、符合第七條規定之證明文件。
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。
前項所定事業，未於前項所定期間內申請核發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許可證照者，廢止其分支機構辦理該業務之許可。
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。
第一項所定事業取得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許可證照者，非向同業公會申報備查，該分支機構不得開始辦理期貨經理事業之業務。
一、最近期經會計師查核簽證之財務報告。
但與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財務報告為同期者免附。
二、同業公會出具之分支機構經理人與業務員資格審查合格之名冊及資格證明文件。
三、分支機構經理人及業務員無第五條規定情事之聲明書。
四、分支機構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。
五、符合第七條規定之證明文件。
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。
前項所定事業，未於前項所定期間內申請核發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許可證照者，廢止其分支機構辦理該業務之許可。
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。
第一項所定事業取得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許可證照者，非向同業公會申報備查，該分支機構不得開始辦理期貨經理事業之業務。