Standards Governing the Establishment of Securities Investment Trust Enterprises Article 36
When a futures trust enterprise concurrently operating securities investment trust business intends to have any branch unit to provide support in the public offering, sale, and private placement of beneficial certificates of securities investment trust funds, it shall apply to the FSC for permission by filling out and submitting an application form, together with the following documents:1.Minutes of the relevant board of directors meetings, showing the resolution for the branch unit to provide support in the public offering, sale, and private placement of beneficial certificates of securities investment trust funds.2.A written description of the internal control system for the branch unit providing support in the public offering, sale, and private placement of beneficial certificates of securities investment trust funds.3.A written statement that the application form and its attachments contain no misrepresentations or nondisclosures.The internal control system referred to in subparagraph 2 of the preceding paragraph shall set out rules governing concurrent appointment, and codes of conduct, of any and all managerial officers, department supervisors, and associated persons of the branch unit who provide support in the public offering, sale, and private placement of beneficial certificates of securities investment trust funds.
中文原文 證券投資信託事業設置標準第36條
兼營證券投資信託業務之期貨信託事業申請分支機構協助辦理證券投資信託基金受益憑證之募集、銷售及私募業務，應填具申請書，並檢具下列文件，向本會申請許可：
一、載明分支機構協助辦理證券投資信託基金受益憑證之募集、銷售及私募業務決議之董事會議事錄。
二、分支機構協助辦理證券投資信託基金受益憑證之募集、銷售及私募業務之內部控制制度。
三、申請書暨附件所載事項無虛偽、隱匿之聲明書。
前項第二款內部控制制度應載明分支機構協助辦理證券投資信託基金受益憑證之募集、銷售及私募業務之經理人、部門主管及業務人員之兼任及行為規範。
一、載明分支機構協助辦理證券投資信託基金受益憑證之募集、銷售及私募業務決議之董事會議事錄。
二、分支機構協助辦理證券投資信託基金受益憑證之募集、銷售及私募業務之內部控制制度。
三、申請書暨附件所載事項無虛偽、隱匿之聲明書。
前項第二款內部控制制度應載明分支機構協助辦理證券投資信託基金受益憑證之募集、銷售及私募業務之經理人、部門主管及業務人員之兼任及行為規範。