Regulations Governing the Conduct of Discretionary Investment Business by Securities Investment Trust Enterprises and Securities Investment Consulting Enterprises Article 6
A SITE or a SICE that applies to provide discretionary investment services shall fill out an application form, attaching the following documents, for submission to the SITCA, which shall review and forward them to the FSC for permission:1. Articles of incorporation.2. Company bylaws.3. The CPA-audited and certified financial report for the most recent fiscal year. If the date of application is more than six months past the start of the new fiscal year, the CPA-audited and certified financial report for the first half of the fiscal year shall also be attached.4. The meeting minutes of the relevant board of directors meetings.5. A business plan, specifying, with respect to the discretionary investment business, the operational principles, internal organization and segregation of duties, and personnel recruitment and training.6. A declaration that the particulars set out in the application and its attachments involve no misrepresentations or nondisclosures.7. A SITE or a SICE that applies to provide trust-type discretionary investment services shall at the same time attach the documents prescribed in the Regulations Governing the Concurrent Operation of Trust Business by Securities Investment Trust Enterprises, Securities Investment Consulting Enterprises, and Securities Firms.The company bylaws referred to in subparagraph 2 of the preceding paragraph shall include an internal control system that sets out, with respect to discretionary investment services, operating principles, operating procedures, segregation of duties and responsibilities, resolution of business disputes, personnel training and education, and administrative matters.A SITE or a SICE may simultaneously apply for a branch unit to provide support in the promotion of its discretionary investment business.
中文原文 證券投資信託事業證券投資顧問事業經營全權委託投資業務管理辦法第6條
證券投資信託事業或證券投資顧問事業申請經營全權委託投資業務，應填具申請書，並檢具下列文件，送同業公會審查後，轉報本會許可：
一、公司章程。
二、業務章則。
三、最近年度經會計師查核簽證之財務報告。
申請時已逾年度開始六個月者，應加送上半年度經會計師查核簽證之財務報告。
四、董事會議事錄。
五、營業計畫書：應載明辦理全權委託投資業務之經營業務原則、內部組織分工、人員招募與訓練。
六、申請書及附件所載事項無虛偽、隱匿之聲明書。
七、以信託方式辦理者，應同時檢具兼營信託業務管理辦法規定應檢具之文件。
前項第二款業務章則，應載明全權委託投資業務經營原則、作業手續、權責劃分、營業紛爭處理、人員教育訓練及管理事項等內部控制制度。
證券投資信託事業或證券投資顧問事業得同時申請分支機構協助推廣全權委託投資業務。
一、公司章程。
二、業務章則。
三、最近年度經會計師查核簽證之財務報告。
申請時已逾年度開始六個月者，應加送上半年度經會計師查核簽證之財務報告。
四、董事會議事錄。
五、營業計畫書：應載明辦理全權委託投資業務之經營業務原則、內部組織分工、人員招募與訓練。
六、申請書及附件所載事項無虛偽、隱匿之聲明書。
七、以信託方式辦理者，應同時檢具兼營信託業務管理辦法規定應檢具之文件。
前項第二款業務章則，應載明全權委託投資業務經營原則、作業手續、權責劃分、營業紛爭處理、人員教育訓練及管理事項等內部控制制度。
證券投資信託事業或證券投資顧問事業得同時申請分支機構協助推廣全權委託投資業務。