Standards Governing the Establishment of Securities Investment Trust Enterprises Article 12
For operation of a SITE, the promoters shall apply to the FSC for permission by filling out and submitting an application form, together with the following documents:1.Articles of incorporation.2.A business plan, specifying: operational principles; internal organization and segregation of duties; planning for the offering and issuance of securities investment trust funds and for business development for the coming 2 years; personnel recruitment and training; general description of premises and facilities; and financial forecasts for the coming 2 years.3.A register of promoters, specifying: name (individual or company), national ID (or alien resident certificate, alien permanent resident certificate, or passport) number or government uniform invoice (GUI) number, address or company location, capital contribution, and subscription ratio. For natural-person promoters, the application must be accompanied by documentary proof of identify. For juristic-person promoters, the application must be accompanied by articles of incorporation, photocopy of documentary proof of incorporation registration, documentary proof of status as an ongoing concern, letter of appointment of the representative and letter of acceptance from the appointed person, CPA-audited and certified financial report for the last fiscal year, register of directors, register of supervisors, register of major shareholders with a shareholding of 3% or more, and register of affiliated enterprises.4.Promoters meeting minutes.5.Documentary proof of the qualification requirements of promoter(s) complying with Article 8.6.Written statement(s) that none of the circumstances in Articles 68, 73, and 76 of the SITC Act exists with respect to any promoter.7.Written statement(s) that no violation of Article 75 of the SITC Act exits with respect to any promoter other than one falling under Article 8 hereof.8.If a juristic-person promoter's duties are to be exercised by a representative or designated representative, the application shall be accompanied by a written statement that none of the circumstances in Article 68 of the SITC Act exists with respect thereto.9.Review checklist for the application for establishment of the SITE, reviewed by a lawyer or CPA, and the summary opinion issued by the reviewer.10.Written statement(s) that the application form and its attachments contain no misrepresentations or nondisclosures.
中文原文 證券投資信託事業設置標準第12條
經營證券投資信託事業，發起人應填具申請書，並檢具下列文件，向本會提出申請許可：
一、公司章程。
二、營業計畫書：載明業務經營原則、內部組織分工、未來二年內證券投資信託基金募集發行及業務發展計畫、人員招募與訓練、場地設備概況及未來二年之財務狀況之預估。
三、發起人名冊：載明姓名或公司名稱、身分證（外僑居留證、永久居留證或護照）號碼或公司統一編號、住址或本公司所在地、出資額及認股比率。
自然人發起人應檢附身分證明文件；法人發起人應檢附公司章程、公司設立登記證明文件影本、繼續營業之證明文件、代表人出任之指派書及被指派人同意書、經會計師查核簽證之最近一年度財務報告、董事名冊、監察人名冊、持股百分之三以上主要股東名冊及關係企業名冊。
四、發起人會議紀錄。
五、符合第八條規定之發起人資格證明文件。
六、發起人無本法第六十八條、第七十三條及第七十六條規定情事之聲明書。
七、第八條規定以外之發起人無違反本法第七十五條規定情事之聲明書。
八、法人發起人之代表人或指定代表行使職務時，無本法第六十八條規定情事之聲明書。
九、經律師或會計師審查之證券投資信託事業申請設立審查表及出具之審查彙總意見書。
十、申請書暨附件所載事項無虛偽、隱匿之聲明書。
一、公司章程。
二、營業計畫書：載明業務經營原則、內部組織分工、未來二年內證券投資信託基金募集發行及業務發展計畫、人員招募與訓練、場地設備概況及未來二年之財務狀況之預估。
三、發起人名冊：載明姓名或公司名稱、身分證（外僑居留證、永久居留證或護照）號碼或公司統一編號、住址或本公司所在地、出資額及認股比率。
自然人發起人應檢附身分證明文件；法人發起人應檢附公司章程、公司設立登記證明文件影本、繼續營業之證明文件、代表人出任之指派書及被指派人同意書、經會計師查核簽證之最近一年度財務報告、董事名冊、監察人名冊、持股百分之三以上主要股東名冊及關係企業名冊。
四、發起人會議紀錄。
五、符合第八條規定之發起人資格證明文件。
六、發起人無本法第六十八條、第七十三條及第七十六條規定情事之聲明書。
七、第八條規定以外之發起人無違反本法第七十五條規定情事之聲明書。
八、法人發起人之代表人或指定代表行使職務時，無本法第六十八條規定情事之聲明書。
九、經律師或會計師審查之證券投資信託事業申請設立審查表及出具之審查彙總意見書。
十、申請書暨附件所載事項無虛偽、隱匿之聲明書。