Standards Governing the Establishment of Securities Investment Consulting Enterprises Article 10-1

A securities broker that concurrently operates a SICE conducting trust-type discretionary investment business shall only accept original trust property from a trustor amounting to not less than NT$10 million, and shall have successfully applied to conduct concurrent operation in the areas of money trust and securities trust in accordance with these Standards as well as the Regulations Governing the Concurrent Operation of Trust Business by Securities Investment Trust Enterprises, Securities Investment Consulting Enterprises, and Securities Firms (hereinafter, the "Regulations Governing the Concurrent Operation of Trust Business"). Notwithstanding the foregoing, no such business may be conducted by a securities broker that is concurrently operated by an enterprise in another line of business.A securities broker that concurrently operates a SICE conducting trust-type discretionary investment business shall be subject, in addition to these Standards, to the Trust Act, the Trust Enterprise Act, the Regulations Governing the Concurrent Operation of Trust Business, and the Discretionary Investment Regulations.