Standards Governing the Establishment of Securities Investment Consulting Enterprises Article 18
A securities broker or futures broker that applies to concurrently operate a SICE that conducts discretionary investment business shall, within 6 months from the day the FSC grants permission, apply to the FSC for re-issuance of a business license by filling out and submitting an application form, together with the following documents:1. A register of qualified personnel, issued by the SITCA after reviewing their qualifications, together with documentary proof of their qualifications.2. Documentary proof of admission to membership in the SITCA.3. Documentary proof evidencing allocation of operating capital.4. The CPA-audited and attested financial report for the most recent period. The report is not required, however, if it covers the same period as that covered by the financial report submitted in the application for permission.5. Documentary proof showing the deposit of an operating bond required by the Discretionary Investment Regulations.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 to apply for re-issuance of a business license.The permission granted to the securities broker or futures broker to concurrently operate a SICE that conducts discretionary investment business shall be revoked if it fails to apply for re-issuance of a business license for such concurrent operation within the period set out in paragraph 1. Notwithstanding the foregoing, if there is legitimate reason, an application may be filed with the FSC before expiration of that period for a maximum extension of 3 months, one time only.The securities broker or futures broker permitted to concurrently operate a SICE that conducts discretionary investment business may not, except where it has already been concurrently operating a SICE that conducts securities investment consulting business, commence such business unless and until it has become a member of the SITCA.A securities broker that concurrently operates a SICE conducting trust-type discretionary investment business shall, in addition to applying for re-issuance of a business license in accordance with paragraphs 1 and 2, complete the registration procedure for adding a new business line in accordance with the Regulations Governing the Concurrent Operation of Trust Business, and may not commence such business unless and until it has submitted a regulatory filing with the FSC, together with any documentary proof demonstrating its admission to membership in the ROC Trust Association and its provision of a compensation reserve fund.
中文原文 證券投資顧問事業設置標準第18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，應自本會許可之日起六個月內，填具申請書，並檢具下列文件，向本會申請換發營業執照：
一、同業公會出具之人員資格審查合格之名冊及其資格證明文件。
二、同業公會同意入會之證明文件。
三、指撥營運資金之證明文件。
四、最近期經會計師查核簽證之財務報告。
但與申請許可時，檢具之財務報告為同期者，免附。
五、依全權委託管理辦法規定提存營業保證金之證明文件。
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，轉報本會申請換發營業執照。
證券經紀商或期貨經紀商未於第一項期間內申請換發兼營證券投資顧問事業辦理全權委託投資業務營業執照者，廢止其許可。
但有正當理由，於期限屆滿前，得向本會申請展延一次，並以三個月為限。
證券經紀商或期貨經紀商除已兼營證券投資顧問事業辦理證券投資顧問業務者外，兼營證券投資顧問事業辦理全權委託投資業務非加入同業公會，不得開辦該項業務。
證券經紀商兼營證券投資顧問事業以信託方式辦理全權委託投資業務，除應依第一項及第二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、同業公會出具之人員資格審查合格之名冊及其資格證明文件。
二、同業公會同意入會之證明文件。
三、指撥營運資金之證明文件。
四、最近期經會計師查核簽證之財務報告。
但與申請許可時，檢具之財務報告為同期者，免附。
五、依全權委託管理辦法規定提存營業保證金之證明文件。
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，轉報本會申請換發營業執照。
證券經紀商或期貨經紀商未於第一項期間內申請換發兼營證券投資顧問事業辦理全權委託投資業務營業執照者，廢止其許可。
但有正當理由，於期限屆滿前，得向本會申請展延一次，並以三個月為限。
證券經紀商或期貨經紀商除已兼營證券投資顧問事業辦理證券投資顧問業務者外，兼營證券投資顧問事業辦理全權委託投資業務非加入同業公會，不得開辦該項業務。
證券經紀商兼營證券投資顧問事業以信託方式辦理全權委託投資業務，除應依第一項及第二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。