Standards Governing the Establishment of Securities Investment Trust Enterprises Article 27
A SICE that applies to concurrently operate securities investment trust business shall, within 6 months from the day the FSC grants permission, apply to the FSC for re-issuance of a business license by filling out and submitting an application form, together with the following documents:1.Documentary proof of amendment to company registration.2.Documentary proof of qualifications showing that the chairperson and general manager meet the qualifications set out in the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Trust Enterprises.3.A register of qualified department supervisors and associated persons of business departments, issued by the SITCA after reviewing their qualifications, together with documentary proof of their qualifications.4.Written statement(s) that none of the circumstances in Article 68, Article 73, and Article 78, paragraph 3 of the SITC Act exists with respect to any director or supervisor.5.If a director or supervisor is a juristic person, a written statement that none of the circumstances in Article 68 of the SITC Act exists with respect to any representative or designated representative exercising duties on its behalf.6.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 managerial officer or department supervisor.7.Written statement(s) that none of the circumstances in Article 68 of the SITC Act exists with respect to any associated person.8.Written statement(s) that all managerial officers, department supervisors, and associated persons are hired as full-time staff.9.The CPA-audited and certified financial report for the most recent period. The report is not required, however, if it covers the same period as that covered by the financial report submitted in the application for permission.10.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.11.A written statement that the application form and its attachments contain no misrepresentations or nondisclosures.The internal control system referred to in subparagraph 10 of the preceding paragraph shall set out precautionary procedures and risk segmentation mechanisms to prohibit and prevent the occurrence of any conflict of interest with beneficial owners or customers or any act prejudicial to the rights or interests of beneficial owners or customers, in connection with codes of conduct, and rules governing concurrent appointment, of responsible persons and associated persons, information sharing, sharing of operating facilities or premises, or advertising, public informational meetings, and other business promotion activities.The permission granted to the SICE for such concurrent operation shall be revoked if the SICE fails to apply for re-issuance of a SICE business license within the period set out in paragraph 1. Notwithstanding the foregoing, if there is legitimate reason, application may be filed with the FSC before expiration of that period for a maximum extension of 3 months, one time only.The SICE may not commence such business operation unless and until it has submitted a filing with the SITCA for recordation.
中文原文 證券投資信託事業設置標準第27條
證券投資顧問事業申請兼營證券投資信託業務，應自本會許可之日起六個月內，填具申請書，並檢具下列文件，向本會申請換發營業執照：
一、公司變更登記證明文件。
二、董事長、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規定之資格證明文件。
三、同業公會出具業務部門主管及業務人員資格審查合格之名冊及資格證明文件。
四、董事、監察人無本法第六十八條、第七十三條及第七十八條第三項規定情事之聲明書。
五、董事、監察人為法人者，其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。
六、經理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。
七、業務人員無本法第六十八條規定情事之聲明書。
八、經理人、部門主管及業務人員均為專任之聲明書。
九、最近期經會計師查核簽證之財務報告。
但與申請許可時，檢具之財務報告為同期者，免附。
十、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。
十一、申請書暨附件所載事項無虛偽、隱匿之聲明書。
前項第十款內部控制制度應載明負責人與業務人員之兼任及行為規範、資訊交互運用、營業設備或營業場所之共用，或為廣告、公開說明會及其他營業促銷活動，不得與受益人或客戶利益衝突或有損害其權益之行為等防範作業及風險區隔事項。
證券投資顧問事業未於第一項期間內向本會申請換發證券投資顧問事業營業執照者，廢止其兼營許可。
但有正當理由，於期限屆滿前，得向本會申請展延一次，並以三個月為限。
證券投資顧問事業非向同業公會申報備查，不得開辦該項業務。
一、公司變更登記證明文件。
二、董事長、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規定之資格證明文件。
三、同業公會出具業務部門主管及業務人員資格審查合格之名冊及資格證明文件。
四、董事、監察人無本法第六十八條、第七十三條及第七十八條第三項規定情事之聲明書。
五、董事、監察人為法人者，其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。
六、經理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。
七、業務人員無本法第六十八條規定情事之聲明書。
八、經理人、部門主管及業務人員均為專任之聲明書。
九、最近期經會計師查核簽證之財務報告。
但與申請許可時，檢具之財務報告為同期者，免附。
十、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。
十一、申請書暨附件所載事項無虛偽、隱匿之聲明書。
前項第十款內部控制制度應載明負責人與業務人員之兼任及行為規範、資訊交互運用、營業設備或營業場所之共用，或為廣告、公開說明會及其他營業促銷活動，不得與受益人或客戶利益衝突或有損害其權益之行為等防範作業及風險區隔事項。
證券投資顧問事業未於第一項期間內向本會申請換發證券投資顧問事業營業執照者，廢止其兼營許可。
但有正當理由，於期限屆滿前，得向本會申請展延一次，並以三個月為限。
證券投資顧問事業非向同業公會申報備查，不得開辦該項業務。