Standards Governing the Establishment of Securities Investment Trust Enterprises Article 20
A trust enterprise intending to concurrently operate securities investment trust business shall apply to the FSC for permission by filling out and submitting an application form, together with the following documents:1.A business plan, specifying, with respect the concurrently operated securities investment trust business: operational principles; internal organization and segregation of duties; planning for offering and issuance of collective trust funds intended for investment in securities, and for business development, for the coming 2 years; personnel recruitment and training; and general description of premises and facilities.2.Minutes of the relevant board of directors meetings, showing the resolution to concurrently operate securities investment trust business. If the trust enterprise is a foreign bank, documents bearing the signature of an entity or person authorized by the head office may be submitted in lieu thereof.3.A register of directors and supervisors.4.A register of qualified department supervisors and associated persons, issued by the SITCA after reviewing their qualifications, together with documentary proof of their qualifications.5.Written statement(s) that none of the circumstances in Article 68 of the SITC Act exists with respect to any director, supervisor, department supervisor, or associated person. If the trust enterprise is a foreign bank, documents bearing the signature of an entity or person authorized by the head office may be submitted in lieu of written statements from directors and supervisors.6.Written statement(s) that none of the circumstances in Article 78, paragraph 3 of the SITC Act exists with respect to any responsible person or department supervisor.7.The CPA-audited and certified financial report for the most recent period.8.A written description of the internal control system for the concurrently operated securities investment trust business, and an unqualified audit opinion letter issued by a CPA.9.A written statement 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20條
信託業申請兼營證券投資信託業務，應填具申請書，並檢具下列文件，向本會申請許可：
一、營業計畫書：載明兼營證券投資信託業務之原則、內部組織分工、未來二年內募集發行以投資有價證券為目的之共同信託基金之計畫及業務發展計畫、人員招募與訓練、場地設備概況。
二、載明兼營證券投資信託業務決議之董事會議事錄。
信託業為外國銀行者，得以總行授權單位或人員簽署之文件替代之。
三、董事及監察人名冊。
四、同業公會出具之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。
五、董事、監察人、部門主管及業務人員無本法第六十八條規定情事之聲明書。
信託業為外國銀行者，得以總行授權單位或人員簽署之文件代替董事、監察人之聲明書。
六、負責人及部門主管無本法第七十八條第三項規定情事之聲明書。
七、最近期經會計師查核簽證之財務報告。
八、兼營證券投資信託業務之內部控制制度及會計師出具之無保留意見之審查報告書。
九、申請書暨附件所載事項無虛偽、隱匿之聲明書。
一、營業計畫書：載明兼營證券投資信託業務之原則、內部組織分工、未來二年內募集發行以投資有價證券為目的之共同信託基金之計畫及業務發展計畫、人員招募與訓練、場地設備概況。
二、載明兼營證券投資信託業務決議之董事會議事錄。
信託業為外國銀行者，得以總行授權單位或人員簽署之文件替代之。
三、董事及監察人名冊。
四、同業公會出具之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。
五、董事、監察人、部門主管及業務人員無本法第六十八條規定情事之聲明書。
信託業為外國銀行者，得以總行授權單位或人員簽署之文件代替董事、監察人之聲明書。
六、負責人及部門主管無本法第七十八條第三項規定情事之聲明書。
七、最近期經會計師查核簽證之財務報告。
八、兼營證券投資信託業務之內部控制制度及會計師出具之無保留意見之審查報告書。
九、申請書暨附件所載事項無虛偽、隱匿之聲明書。