Standards Governing the Establishment of Securities Investment Consulting Enterprises Article 20
When a securities broker or futures broker concurrently operating a SICE that conducts discretionary investment business intends to have a branch unit to engage in promotion and solicitation for its discretionary investment business, it shall apply to the FSC for permission by filling out and submitting an application form, together with the following documents:1. Minutes of the relevant board of directors meetings, showing the resolution for the branch unit to engage in promotion and solicitation for discretionary investment business.2. A written description of a system of internal controls in relation to the branch unit's engagement in promotion and solicitation for discretionary investment business.3. A written statement that the application form and its attachments contain no misrepresentations or nondisclosures.The internal control system referred to in subparagraph 2 of the preceding paragraph shall set out rules governing concurrent appointment of, and code of conduct for, associated persons in relation to the branch unit's engagement in promotion and solicitation for discretionary investment business.
中文原文 證券投資顧問事業設置標準第20條
證券經紀商或期貨經紀商兼營證券投資顧問事業辦理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。