Regulations Governing Leverage Transaction Merchants Article 7
A futures commission merchant applying to concurrently operate a leverage transaction merchant shall apply to the competent authority for approval by filling out an application form and attaching the following documents:1. A business plan setting out the operating principles of the leverage transaction merchant, its business development plan, internal organization and division of responsibilities, personnel recruitment and training plan, and financial forecasts for the year in which operations commence and the following year.2. The minutes of the directors' meeting containing the resolution for concurrent operation of a leverage transaction merchant.3. A declaration that none of the circumstances under Article 28 of the Act applies to its directors and supervisors.4. The CPA audited and attested financial report for the most recent period.5. A document evidencing compliance with paragraph 1, subparagraph 6 of the preceding Article, provided that exemption from this requirement is allowed when no contract for market use has been entered into with the relevant institution.6. An application checklist.7. A declaration stating that the application and its attachments contain no misrepresentation or concealment of information.
中文原文 槓桿交易商管理規則第7條
期貨商申請兼營槓桿交易商，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：載明兼營槓桿交易商之經營原則、業務發展計畫、內部組織分工、人員招募與訓練計畫及開業當年度與次年度財務狀況之預估。
二、載明兼營槓桿交易商決議之董事會議事錄。
三、董事及監察人無本法第二十八條規定情事之聲明書。
四、最近期經會計師查核簽證之財務報告。
五、符合前條第一項第六款規定之證明文件。
但未與相關機構訂立市場使用契約者免附。
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。
一、營業計畫書：載明兼營槓桿交易商之經營原則、業務發展計畫、內部組織分工、人員招募與訓練計畫及開業當年度與次年度財務狀況之預估。
二、載明兼營槓桿交易商決議之董事會議事錄。
三、董事及監察人無本法第二十八條規定情事之聲明書。
四、最近期經會計師查核簽證之財務報告。
五、符合前條第一項第六款規定之證明文件。
但未與相關機構訂立市場使用契約者免附。
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。