Standards Governing the Establishment of Futures Advisory Enterprises Article 13
A futures broker, managed futures enterprise, securities broker, or SICE applying for concurrent operation of futures advisory business on behalf of a branch office shall, within six months of the date of approval by the competent authority, fill out an application form, attaching the following documents, and apply to the competent authority for issuance of a certificate of license for the operation of futures advisory business by the branch unit:1. A register, issued by the Futures Association, of managers and associated persons who have passed a review of their qualifications for the futures advisory business and documents evidencing their qualifications.2. A declaration stating that none of the circumstances under Article 19 of the Regulations Governing Futures Advisory Enterprises applies with respect to the managers and associated persons for the futures advisory business of the branch unit.3. A CPA-audited and attested financial report for the most recent period, provided that the futures commission merchant will be exempt from this requirement when the report is for the same period as that submitted in the application for original approval.4. Documents evidencing compliance with the provisions of Article 5, paragraph 1, subparagraph 7 herein, provided that exemption from this requirement is allowed when a contract for market use has not been entered into with the relevant institution.5. Documents evidencing compliance with the provisions of Article 7 herein.6. An application review checklist.7. A declaration that the application and its attachments contain no misrepresentation or concealment.Approval for the operation of futures advisory business by a branch unit will be revoked for any enterprise named in the preceding paragraph that fails to apply for a certificate of license for the operation of futures advisory business by a branch unit within the period prescribed in the preceding paragraph, provided that with legitimate reason, the futures commission merchant may apply to the competent authority prior to the lapse of the application period for a further six-month extension, which shall be granted once only.If an enterprise named in paragraph 1 has obtained a certificate of license for the operation of futures advisory business by a branch unit but fails to report the matter to the Futures Association for recordation, the branch unit may not commence operation of futures advisory business.
中文原文 期貨顧問事業設置標準第13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期貨顧問業務之許可證照：
一、同業公會出具分支機構擔任期貨顧問業務之經理人與業務員資格審查合格之名冊及資格證明文件。
二、分支機構擔任期貨顧問業務之經理人與業務員無期貨顧問事業管理規則第十九條規定情事之聲明書。
三、最近期經會計師查核簽證之財務報告。
但與申請許可時檢具之財務報告為同期者免附。
四、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。
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期貨顧問業務之許可證照者，廢止其分支機構辦理期貨顧問業務之許可。
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期貨顧問業務之許可證照者，非向同業公會申報備查，該分支機構不得開始辦理期貨顧問業務。
一、同業公會出具分支機構擔任期貨顧問業務之經理人與業務員資格審查合格之名冊及資格證明文件。
二、分支機構擔任期貨顧問業務之經理人與業務員無期貨顧問事業管理規則第十九條規定情事之聲明書。
三、最近期經會計師查核簽證之財務報告。
但與申請許可時檢具之財務報告為同期者免附。
四、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。
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期貨顧問業務之許可證照者，廢止其分支機構辦理期貨顧問業務之許可。
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期貨顧問業務之許可證照者，非向同業公會申報備查，該分支機構不得開始辦理期貨顧問業務。