Standards Governing the Establishment of Securities Investment Consulting Enterprises Article 17
A securities broker or futures broker intending to apply to concurrently operate a SICE that conducts discretionary investment business shall apply to the FSC for permission by filling out and submitting an application form, together with the following documents:1. A business plan, specifying, with respect to the concurrently operated SICE that conducts discretionary investment business: operational principles, internal organization and segregation of duties, and personnel recruitment and training.2. Minutes of the relevant board of directors meetings, showing [the resolution to] concurrently operate the SICE that conducts discretionary investment business. A foreign securities broker or a foreign futures broker may, in lieu of such, submit documentation bearing the signature of an entity or person authorized by the head office.3. A register of directors and supervisors.4. A register of qualified personnel meeting the qualification requirements in the Discretionary Investment Regulations, issued by the SITCA after reviewing their qualifications, together with documentary proof of their qualifications.5. The prospectus required to be prepared by the Discretionary Investment Regulations.6. Written statement(s) that none of the circumstances in Article 68 of the SITC Act exists with respect to any director, supervisor, managerial officer, any department supervisor engaging in discretionary investment business, or any associated person. A foreign securities broker or a foreign futures broker may, in lieu of written statements from directors and supervisors, submits documentation bearing the signature of an entity or person authorized by the head office.7. The CPA-audited and attested financial report for the most recent period. If at the time of application 6 months have already elapsed since the beginning of the fiscal year, a CPA-audited and attested financial report for the first half-year shall be additionally submitted.8. Operating bylaws for the concurrent operation of the SICE that conducts discretionary investment business.9. The audit report from a CPA special audit on the internal control system for the discretionary investment business.10. A written statement that the application form and its attachments contain no misrepresentations or nondisclosures.11. In the case of a securities broker applying to conduct that business on a trust basis, the application shall also be accompanied by such documents as may be required by the Regulations Governing the Concurrent Operation of Trust Business.When a securities broker that concurrently operates a SICE applies to additionally conduct mandate-type or trust-type discretionary investment business in accordance with the preceding paragraph, the application shall first be submitted to the SITCA for review and then forwarded to the FSC for permission.The operating bylaws referred to in subparagraph 8 of paragraph 1 shall set out, with respect to discretionary investment business, a system of internal controls that includes rules for preventing conflict of interest and for segmentation of risks in areas related to business operations, such as operational principles, operating procedures, segregation of authority and duties, resolution of disputes, personnel training and administration, information sharing, and advertising.The CPA under paragraph 1, subparagraph 9 may only be a CPA allowed to provide audit and attest services on the financial reports of public companies.The securities broker or futures broker may simultaneously apply for a branch unit to engage in promotion and solicitation for its discretionary investment business. The documents and procedures for the application for permission and for re-issuance of a business license shall be as provided in Articles 20 and 21 hereof.
中文原文 證券投資顧問事業設置標準第17條
證券經紀商或期貨經紀商申請兼營證券投資顧問事業辦理全權委託投資業務者，應填具申請書，並檢具下列文件，向本會申請許可：
一、營業計畫書：應載明兼營證券投資顧問事業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。
二、載明兼營證券投資顧問事業辦理全權委託投資業務之董事會議事錄。
外國證券經紀商或外國期貨經紀商，得以總公司授權單位或人員簽署之文件替代之。
三、董事及監察人名冊。
四、同業公會出具審查全權委託管理辦法所定人員資格合格之名冊及其資格證明文件。
五、依全權委託管理辦法規定應製作之說明書。
六、董事、監察人、經理人、從事全權委託投資業務之部門主管及業務人員無本法第六十八條規定情事之聲明書。
外國證券經紀商或外國期貨經紀商，得以總公司授權單位或人員簽署之文件代替董事、監察人之聲明書。
七、最近期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。
八、兼營證券投資顧問事業辦理全權委託投資業務之業務章則。
九、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。
十、申請書及附件所載事項無虛偽、隱匿之聲明書。
十一、證券經紀商申請以信託方式辦理者，應同時檢具兼營信託業務管理辦法規定應檢具之文件。
前項證券經紀商兼營證券投資顧問事業申請新增以委任方式或信託方式辦理全權委託投資業務者，應送同業公會審查後，轉報本會許可。
第一項第八款業務章則，應載明全權委託投資業務之經營原則、作業手續、權責劃分、業務紛爭處理、人員教育訓練與管理事項、資訊交互運用或廣告等經營業務有關之利益衝突防範作業及風險區隔事項等內部控制制度。
第一項第九款之會計師，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。
證券經紀商或期貨經紀商得同時申請分支機構辦理全權委託投資業務之推廣及招攬；其申請許可與換發營業執照之文件及相關程序，依第二十條及第二十一條規定辦理。
一、營業計畫書：應載明兼營證券投資顧問事業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。
二、載明兼營證券投資顧問事業辦理全權委託投資業務之董事會議事錄。
外國證券經紀商或外國期貨經紀商，得以總公司授權單位或人員簽署之文件替代之。
三、董事及監察人名冊。
四、同業公會出具審查全權委託管理辦法所定人員資格合格之名冊及其資格證明文件。
五、依全權委託管理辦法規定應製作之說明書。
六、董事、監察人、經理人、從事全權委託投資業務之部門主管及業務人員無本法第六十八條規定情事之聲明書。
外國證券經紀商或外國期貨經紀商，得以總公司授權單位或人員簽署之文件代替董事、監察人之聲明書。
七、最近期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。
八、兼營證券投資顧問事業辦理全權委託投資業務之業務章則。
九、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。
十、申請書及附件所載事項無虛偽、隱匿之聲明書。
十一、證券經紀商申請以信託方式辦理者，應同時檢具兼營信託業務管理辦法規定應檢具之文件。
前項證券經紀商兼營證券投資顧問事業申請新增以委任方式或信託方式辦理全權委託投資業務者，應送同業公會審查後，轉報本會許可。
第一項第八款業務章則，應載明全權委託投資業務之經營原則、作業手續、權責劃分、業務紛爭處理、人員教育訓練與管理事項、資訊交互運用或廣告等經營業務有關之利益衝突防範作業及風險區隔事項等內部控制制度。
第一項第九款之會計師，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。
證券經紀商或期貨經紀商得同時申請分支機構辦理全權委託投資業務之推廣及招攬；其申請許可與換發營業執照之文件及相關程序，依第二十條及第二十一條規定辦理。