Regulations Governing Leverage Transaction Merchants Article 8
Within 6 months from the date of approval by the competent authority, a futures commission merchant applying to concurrently operate a leverage transaction merchant shall amend its articles of incorporation and carry out the required amendments to company registration for concurrent operation of a leverage transaction merchant, and shall further fill out an application form, with the following documents attached, and apply to the competent authority for a certificate of license:1. Its articles of incorporation and documents evidencing amendment of company registration.2. A description of its internal control system for the concurrently operated leverage transaction merchant.3. A review opinion issued by the TPEx on the appropriateness of the risk management of the futures commission merchant concurrently operating a leverage transaction merchant.4. A register issued by the Chinese National Futures Association ("Futures Association") of the managerial officers and associated persons for the leverage transaction merchant who have passed the review of their qualifications, with documentation showing their qualifications.5. A declaration stating that none of the circumstances under Article 28 of the Act applies to the persons serving as the managerial officers and associated persons of the leverage transaction merchant.6. The CPA audited and attested financial report for the most recent period. The financial report need not be attached if it is for the same period as the report attached with the application for approval to concurrently operate a leverage transaction merchant.7. Documentary proof that an operating bond has been furnished pursuant to the provisions of Article 10.8. A document evidencing compliance with Article 6, paragraph 1, subparagraph 6, provided that exemption from this requirement is allowed when no contract for market use has been entered into with the relevant institution.9. An application checklist.10. A declaration stating that the application and its attachments contain no misrepresentation or concealment of information.The approval granted to the futures commission merchant concurrently operating a leverage transaction merchant will be revoked upon failure to apply to the competent authority for the issuance of a certificate of license for concurrent operation of a leverage transaction merchant within the time period set by the preceding paragraph. Given a legitimate reason, an application may be made to the competent authority for an extension prior to the deadline; such an extension may not exceed 6 months and will be granted one time only.A futures commission merchant concurrently operating a leverage transaction merchant that enters the Futures Association under any designation other than leverage transaction merchant may not commence the business operations of a leverage transaction merchant.
中文原文 槓桿交易商管理規則第8條
期貨商申請兼營槓桿交易商，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槓桿交易商之公司變更登記，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、兼營槓桿交易商之內部控制制度。
三、證券櫃檯買賣中心出具期貨商兼營槓桿交易商風險管理妥適性之審查意見書。
四、中華民國期貨業商業同業公會（以下簡稱同業公會）出具擔任槓桿交易商之經理人與業務員資格審查合格之名冊及資格證明文件。
五、擔任槓桿交易商之經理人與業務員無本法第二十八條規定情事之聲明書。
六、最近期經會計師查核簽證之財務報告。
但與申請許可兼營槓桿交易商時檢具之財務報告為同期者免附。
七、已依第十條規定繳存營業保證金之證明文件。
八、符合第六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。
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。
期貨商兼營槓桿交易商，未於前項所定期間內向主管機關申請核發兼營槓桿交易商許可證照者，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。
期貨商兼營槓桿交易商，非以槓桿交易商之業別，加入同業公會，不得開辦槓桿交易商業務。
一、公司章程及公司變更登記證明文件。
二、兼營槓桿交易商之內部控制制度。
三、證券櫃檯買賣中心出具期貨商兼營槓桿交易商風險管理妥適性之審查意見書。
四、中華民國期貨業商業同業公會（以下簡稱同業公會）出具擔任槓桿交易商之經理人與業務員資格審查合格之名冊及資格證明文件。
五、擔任槓桿交易商之經理人與業務員無本法第二十八條規定情事之聲明書。
六、最近期經會計師查核簽證之財務報告。
但與申請許可兼營槓桿交易商時檢具之財務報告為同期者免附。
七、已依第十條規定繳存營業保證金之證明文件。
八、符合第六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。
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。
期貨商兼營槓桿交易商，未於前項所定期間內向主管機關申請核發兼營槓桿交易商許可證照者，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。
期貨商兼營槓桿交易商，非以槓桿交易商之業別，加入同業公會，不得開辦槓桿交易商業務。