Standards Governing the Establishment of Futures Advisory Enterprises Article 9
A futures broker, managed futures enterprise, securities broker, or SICE applying to concurrently operate a futures advisory enterprise shall, within six months from the date of approval by the competent authority, duly amend its articles of incorporation and carry out company amendment registration for concurrent operation of a futures advisory enterprise, and shall fill out an application form, attaching the following documents, and apply to the competent authority for issuance of a certificate of license:1. The enterprise's articles of incorporation and documents evidencing its company amendment registration.2. A description of its internal control system for concurrent operation of a futures advisory enterprise.3. A register, issued by the Futures Association, of managers and associated persons who have passed a review of their qualifications for a futures advisory enterprise, and documents verifying their qualifications.4. A declaration stating that none of the circumstances under Article 19 of the Regulations Governing Futures Advisory Enterprises apply with respect to the managers and operations personnel of the futures advisory enterprise.5. A CPA-audited and attested financial report for the most recent period, provided that this shall not be required when the report is for the same period as the report submitted in the application for approval for concurrent operation of the futures advisory business.6. A document showing payment of the operating bond required under Article 10 of the Regulations Governing Futures Advisory Enterprises.7. Documents showing 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 established with the relevant institution.8. Documents showing compliance with the provisions of Article 7 herein.9. An application review checklist.10. A declaration stating that the application and its attachments contain no misrepresentation or concealment.The internal control system referred to in subparagraph 2 of the preceding paragraph shall set out a code governing the conduct of managers and associated persons of the futures advisory enterprise and their concurrent holding of other positions, the division of authority and responsibility between departments and their information sharing, common use of operating sites and facilities, procedures for handling business disputes, and preventive measures and risk segregation measures to insure that in operations-related activities such as advertising, the offering of lecture courses, and the provision of analytical opinions or recommendations, there are no conflicts with customer interests or with business other than that of the futures advisory enterprise and that no conduct harmful to customer interests occurs.Approval will be revoked for any enterprise named in paragraph 1 that fails to apply to the competent authority for a certificate of license for concurrent operation of a futures advisory enterprise within the period prescribed in paragraph 1, provided that with legitimate reason, the enterprise may apply to the competent authority prior to the lapse of the application period for a further six-month extension, which will be granted once only.When an enterprise named under paragraph 1 concurrently operates a futures advisory enterprise, and it enters the Futures Association as any type of enterprise other than a futures advisory enterprise, it may not commence operation of the business of its futures advisory enterprise.
中文原文 期貨顧問事業設置標準第9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兼營期貨顧問事業，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顧問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、兼營期貨顧問事業之內部控制制度。
三、同業公會出具擔任期貨顧問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。
四、擔任期貨顧問事業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。
五、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顧問事業時檢具之財務報告為同期者免附。
六、已依期貨顧問事業管理規則第十條規定繳存營業保證金之證明文件。
七、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。
八、符合第七條規定之證明文件。
九、案件審查表。
十、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，應載明擔任期貨顧問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、舉辦講習及提供研究分析意見、推介建議等經營業務有關活動，不得與客戶利益及非期貨顧問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顧問事業，未於第一項所定期間內向主管機關申請核發兼營期貨顧問事業許可證照者，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顧問事業，非以期貨顧問事業之業別，加入同業公會，不得開辦期貨顧問事業之業務。
一、公司章程及公司變更登記證明文件。
二、兼營期貨顧問事業之內部控制制度。
三、同業公會出具擔任期貨顧問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。
四、擔任期貨顧問事業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。
五、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顧問事業時檢具之財務報告為同期者免附。
六、已依期貨顧問事業管理規則第十條規定繳存營業保證金之證明文件。
七、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。
八、符合第七條規定之證明文件。
九、案件審查表。
十、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，應載明擔任期貨顧問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、舉辦講習及提供研究分析意見、推介建議等經營業務有關活動，不得與客戶利益及非期貨顧問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顧問事業，未於第一項所定期間內向主管機關申請核發兼營期貨顧問事業許可證照者，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顧問事業，非以期貨顧問事業之業別，加入同業公會，不得開辦期貨顧問事業之業務。