Regulations Governing the Conduct of Discretionary Investment Business by Securities Investment Trust Enterprises and Securities Investment Consulting Enterprises Article 7
Within three months after the date of FSC approval for the offering of discretionary investment services, the SITE or SICE shall fill out an application for issuance of a new business license with the following documents attached for submission to SITCA, which shall review and forward them to the FSC for permission:1. Documentary proof of company registration.2. The SITE or SICE business license.3. The name of the organization conforming to the provisions of Article 8, and a register of personnel meeting qualification requirements, issued by the SITCA after reviewing their qualifications, together with the relevant documentary proof of qualifications.4. The audit report from a CPA special audit on the internal control system for the discretionary investment services.5. A prospectus prepared in accordance with the provisions of Article 21 herein.6. Documentary proof that the operating bond required under Article 10 has been furnished.7. A declaration that the particulars set out in the application and its attachments contain no misrepresentations or nondisclosures.The CPA performing the audit required by subparagraph 4 of the preceding paragraph shall be one qualified to audit and attest the financial reports of public companies.The FSC may revoke the permission of a SITE or a SICE that fails to apply for issuance of a new business license within the period prescribed by paragraph 1, provided that with legitimate reason, an application may be forwarded to the FSC through SITCA prior to the end of the prescribed period for a one-time extension of three months only.A SITE or a SICE that offers trust-type discretionary investment services shall apply for issuance of a new business license pursuant to the provisions of paragraph 1, and in addition, prior to commencing business, shall complete registration of new lines of business pursuant to the Regulations Governing the Concurrent Operation of Trust Business by Securities Investment Trust Enterprises, Securities Investment Consulting Enterprises, and Securities Firms and report to the FSC with documentation showing approval for membership in the Trust Association of the R.O.C.and the lodging of the required compensation reserve.
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條
證券投資信託事業或證券投資顧問事業應自本會許可經營全權委託投資業務之日起三個月內，填具申請書，並檢具下列文件，送同業公會審查後，轉報本會申請換發營業執照：
一、公司登記證明文件。
二、營業執照。
三、符合第八條規定之組織與同業公會出具人員資格審查合格之名冊及其資格證明文件。
四、會計師專案審查全權委託投資業務內部控制制度之審查報告。
五、依第二十一條規定製作之說明書。
六、已依第十條規定提存營業保證金之證明文件。
七、申請書及附件所載事項無虛偽、隱匿之聲明書。
前項第四款之會計師，應以得辦理公開發行公司財務報告查核簽證業務之會計師為限。
證券投資信託事業或證券投資顧問事業未於第一項期間內申請換發營業執照者，本會得廢止其許可。
但有正當理由，於期限屆滿前，得由同業公會轉報本會申請展延一次，並以三個月為限。
證券投資信託事業或證券投資顧問事業以信託方式經營全權委託投資業務，除應依第一項規定申請換發營業執照外，並應依兼營信託業務管理辦法規定，完成新增營業項目登錄，備妥中華民國信託業商業同業公會同意入會及提存賠償準備金之證明文件，向本會申報後，始得開辦。
一、公司登記證明文件。
二、營業執照。
三、符合第八條規定之組織與同業公會出具人員資格審查合格之名冊及其資格證明文件。
四、會計師專案審查全權委託投資業務內部控制制度之審查報告。
五、依第二十一條規定製作之說明書。
六、已依第十條規定提存營業保證金之證明文件。
七、申請書及附件所載事項無虛偽、隱匿之聲明書。
前項第四款之會計師，應以得辦理公開發行公司財務報告查核簽證業務之會計師為限。
證券投資信託事業或證券投資顧問事業未於第一項期間內申請換發營業執照者，本會得廢止其許可。
但有正當理由，於期限屆滿前，得由同業公會轉報本會申請展延一次，並以三個月為限。
證券投資信託事業或證券投資顧問事業以信託方式經營全權委託投資業務，除應依第一項規定申請換發營業執照外，並應依兼營信託業務管理辦法規定，完成新增營業項目登錄，備妥中華民國信託業商業同業公會同意入會及提存賠償準備金之證明文件，向本會申報後，始得開辦。