Standards Governing the Establishment of Futures Advisory Enterprises Article 12
A futures broker, managed futures enterprise, securities broker, or SICE applying for approval for concurrent operation of futures advisory business by its branch office shall fill out an application form, attaching the following documents, and apply to the competent authority for approval:1. An operations plan, giving a general description of the principles of the branch office's operation of futures advisory business, its internal organization, division of responsibilities, a plan for hiring and training of personnel, the site and facilities, and a one-year financial status forecast.2. Rules for the prevention of conflicts of interest, provided that exemption from this requirement is allowed when these rules are identical with those submitted during a previous application for concurrent operation of futures advisory business by a branch office.3. The minutes of the shareholders' or directors' meeting containing the resolution for concurrent operation of futures advisory business by the branch unit.4. A description of the internal control system for the operation of futures advisory business by the branch unit, provided that the futures commission merchant may be exempt from this provision when the description is identical to that submitted in the previous application made on behalf of a branch office.5. A CPA-audited and attested financial report for the most recent period.6. Documents evidencing compliance with the provisions of Article 5, paragraph 1, subparagraph 7, provided that exemption from this requirement is allowed when a contract for market use has not been entered into with the relevant institution.7. An application review checklist.8. A declaration stating that the application and its attachments contain no misrepresentation or concealment.
中文原文 期貨顧問事業設置標準第12條
期貨經紀商、期貨經理事業、證券經紀商及證券投資顧問事業申請其分支機構辦理期貨顧問業務，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：載明分支機構辦理期貨顧問業務之原則、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。
二、防範利益衝突之操作規則。
但與前次申請分支機構辦理期貨顧問業務檢具之操作規則相同者免附。
三、載明分支機構辦理期貨顧問業務之股東會或董事會議事錄。
四、分支機構辦理期貨顧問業務之內部控制制度。
但與前次申請許可分支機構辦理期貨顧問業務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。
六、符合第五條第一項第七款規定之證明文件。
但未與相關機構訂立市場使用契約者免附。
七、案件審查表。
八、申請書及附件所載事項無虛偽或隱匿之聲明書。
一、營業計畫書：載明分支機構辦理期貨顧問業務之原則、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。
二、防範利益衝突之操作規則。
但與前次申請分支機構辦理期貨顧問業務檢具之操作規則相同者免附。
三、載明分支機構辦理期貨顧問業務之股東會或董事會議事錄。
四、分支機構辦理期貨顧問業務之內部控制制度。
但與前次申請許可分支機構辦理期貨顧問業務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。
六、符合第五條第一項第七款規定之證明文件。
但未與相關機構訂立市場使用契約者免附。
七、案件審查表。
八、申請書及附件所載事項無虛偽或隱匿之聲明書。