Regulations Governing the Conduct of Discretionary Investment Business by Securities Investment Trust Enterprises and Securities Investment Consulting Enterprises Article 7-1
A SITE or a SICE that offers discretionary investment services and applies for promotion and business solicitation for its discretionary investment services by a branch unit shall fill out an application, with the following documents attached, and apply to the FSC for permission:1. Board of directors meeting minutes containing a resolution for the branch unit to engage in promotion and business solicitation for discretionary investment services.2. The internal control system for the promotion and solicitation of discretionary investment services by the branch unit.3. A declaration that the particulars set out in the application and its attachments involve no misrepresentations or nondisclosures.The internal control system of subparagraph 2 of the preceding paragraph shall include rules governing the concurrent appointment and the conduct of associated persons at the branch unit who engage in promotion and solicitation for the discretionary investment services.
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7-1條
證券投資信託事業或證券投資顧問事業經營全權委託投資業務者，申請分支機構辦理全權委託投資業務之推廣及招攬，應填具申請書，並檢具下列文件，向本會申請許可：
一、載明分支機構辦理全權委託投資業務之推廣及招攬決議之董事會議事錄。
二、分支機構辦理全權委託投資業務之推廣及招攬內部控制制度。
三、申請書及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包含分支機構辦理全權委託投資業務之推廣及招攬業務人員兼任及行為規範。
一、載明分支機構辦理全權委託投資業務之推廣及招攬決議之董事會議事錄。
二、分支機構辦理全權委託投資業務之推廣及招攬內部控制制度。
三、申請書及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包含分支機構辦理全權委託投資業務之推廣及招攬業務人員兼任及行為規範。