Standards Governing the Establishment of Securities Investment Trust Enterprises Article 13
A SITE shall, within 6 months from the day the FSC grants permission, duly complete all company registration procedures and apply to the FSC for issuance of a business license by filling out and submitting an application form, together with the following documents:1.Documentary proof of company registration.2.Articles of incorporation.3.A shareholders register, and minutes of the relevant shareholders meetings.4.Written statement(s) that no violation of Article 75 of the SITC Act exists with respect to any shareholder.5.A register of directors and supervisors, and minutes of the relevant board of directors meetings.6.A CPA-audited and certified financial report, accompanied by an unqualified opinion, issued within one month prior to the date of application.7.Written statement(s) that none of the circumstances in Article 68 and Article 73, paragraph 1 of the SITC Act exists with respect to any director, supervisor, or managerial officer.8.Documentary proof of qualifications showing that the general manager meets the qualifications set out in Article 3 of the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Trust Enterprises.9.A list of the managerial officers, department supervisors, and associated persons, issued by the Securities Investment Trust and Consulting Association of the R.O.C. (SITCA) after reviewing their qualifications, together with documentary proof of their qualifications.10.Written statement(s) that none of the circumstances in Article 68 and Article 78, paragraph 3 of the SITC Act exists with respect to any responsible person or department supervisor.11.Written statement(s) that none of the circumstances in Article 68 of the SITC Act exists with respect to any associated person.12.Written statement(s) that all managerial officers, department supervisors, and associated persons are hired as full-time staff.13.A photocopy of the ownership deed or lease agreement of the place of business, and the floor plans and photographs thereof.14.Written statement(s) that the SITE has an independent place of business not jointly used by any other enterprise.15.A written description of the internal control system and an unqualified review opinion issued by a CPA.16.Documentary proof of admission to membership in the SITCA.17.Review checklist for the SITE's application for issuance of business license.18.A written statement that the application form and its attachments contain no misrepresentations or nondisclosures.The establishment permission granted to the SITE shall be revoked if it fails to apply for issuance of a business license within the period specified in the preceding paragraph. Notwithstanding the foregoing, if there is legitimate reason, an application may be filed with the FSC before expiration of that period for a maximum extension of 6 months, one time only.The SITE may not commence business unless and until it has become a member of the SITCA.
中文原文 證券投資信託事業設置標準第13條
證券投資信託事業應自本會許可之日起六個月內依法辦妥公司登記，填具申請書，並檢具下列文件，向本會申請核發營業執照：
一、公司登記證明文件。
二、公司章程。
三、股東名冊及股東會議事錄。
四、股東無違反本法第七十五條規定之聲明書。
五、董事、監察人名冊及董事會議事錄。
六、申請日前一個月內經會計師查核簽證並出具無保留意見之財務報告。
七、董事、監察人及經理人無本法第六十八條及第七十三條第一項規定情事之聲明書。
八、總經理符合證券投資信託事業負責人與業務人員管理規則第三條規定之資格證明文件。
九、中華民國證券投資信託暨顧問商業同業公會（以下簡稱同業公會）出具之經理人、部門主管與業務人員資格審查合格之人員名冊及其資格證明文件。
十、負責人及部門主管無本法第六十八條及第七十八條第三項規定情事之聲明書。
十一、業務人員無本法第六十八條規定情事之聲明書。
十二、經理人、部門主管及業務人員均為專任之聲明書。
十三、營業處所之權狀影本或租賃契約影本及其平面圖、照片。
十四、營業處所獨立且未與其他事業共同使用之聲明書。
十五、書面內部控制制度及會計師出具之無保留意見之審查意見書。
十六、同業公會同意入會之證明文件。
十七、證券投資信託事業申請核發營業執照審查表。
十八、申請書暨附件所載事項無虛偽、隱匿之聲明書。
證券投資信託事業未於前項期間內申請核發營業執照者，廢止其設立許可。
但有正當理由，於期限屆滿前，得向本會申請展延一次，並以六個月為限。
證券投資信託事業非加入同業公會，不得開業。
一、公司登記證明文件。
二、公司章程。
三、股東名冊及股東會議事錄。
四、股東無違反本法第七十五條規定之聲明書。
五、董事、監察人名冊及董事會議事錄。
六、申請日前一個月內經會計師查核簽證並出具無保留意見之財務報告。
七、董事、監察人及經理人無本法第六十八條及第七十三條第一項規定情事之聲明書。
八、總經理符合證券投資信託事業負責人與業務人員管理規則第三條規定之資格證明文件。
九、中華民國證券投資信託暨顧問商業同業公會（以下簡稱同業公會）出具之經理人、部門主管與業務人員資格審查合格之人員名冊及其資格證明文件。
十、負責人及部門主管無本法第六十八條及第七十八條第三項規定情事之聲明書。
十一、業務人員無本法第六十八條規定情事之聲明書。
十二、經理人、部門主管及業務人員均為專任之聲明書。
十三、營業處所之權狀影本或租賃契約影本及其平面圖、照片。
十四、營業處所獨立且未與其他事業共同使用之聲明書。
十五、書面內部控制制度及會計師出具之無保留意見之審查意見書。
十六、同業公會同意入會之證明文件。
十七、證券投資信託事業申請核發營業執照審查表。
十八、申請書暨附件所載事項無虛偽、隱匿之聲明書。
證券投資信託事業未於前項期間內申請核發營業執照者，廢止其設立許可。
但有正當理由，於期限屆滿前，得向本會申請展延一次，並以六個月為限。
證券投資信託事業非加入同業公會，不得開業。