Standards Governing the Establishment of Securities Investment Consulting Enterprises Article 28
A trust enterprise intending to concurrently operate the securities investment consulting business set out in Article 22, paragraph 1, subparagraph 3 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 dedicated consulting department: operational principles, internal organization and segregation of duties, personnel recruitment and training, and general description of premises and facilities.2. A written description of the internal control system for the concurrently operated securities investment consulting business.3. 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.4. Minutes of the relevant board of directors meetings, showing [the resolution to] concurrently operate securities investment consulting business. If the trust enterprise is a foreign bank, it may, in lieu of such, submit documentation bearing the signature of an entity or person authorized by the head office.5. A register of qualified personnel, issued by the SITCA after reviewing their qualifications, together with documentary proof of their qualifications.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 securities investment consulting business, or any associated person. If the trust enterprise is a foreign bank, it may, in lieu of written statements from directors and supervisors, submit documentation bearing the signature of an entity or person authorized by the head office.7. Written statement(s) 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 for preventing conflict of interest and for segmentation of risks in areas related to such business operations as information sharing, advertising, holding of public investment analysis activities, and provision of research and analysis reports.
中文原文 證券投資顧問事業設置標準第28條
信託業申請兼營第二十二條第一項第三款證券投資顧問業務者，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：應載明專責顧問部門經營業務原則、內部組織分工、人員招募與訓練、場地設備概況。
二、兼營證券投資顧問業務之內部控制制度。
三、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，應加送上半年度經會計師查核簽證之財務報告。
四、載明兼營證券投資顧問業務之董事會議事錄。
信託業為外國銀行者，得以總行授權單位或人員簽署之文件替代之。
五、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。
六、董事、監察人、經理人、從事證券投資顧問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。
信託業為外國銀行者，得以總行授權單位或人員簽署之文件代替董事、監察人之聲明書。
七、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，應載明資訊交互運用、廣告、公開舉辦投資分析活動或提供研究分析報告等經營業務有關之利益衝突防範作業及風險區隔事項。
一、營業計畫書：應載明專責顧問部門經營業務原則、內部組織分工、人員招募與訓練、場地設備概況。
二、兼營證券投資顧問業務之內部控制制度。
三、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，應加送上半年度經會計師查核簽證之財務報告。
四、載明兼營證券投資顧問業務之董事會議事錄。
信託業為外國銀行者，得以總行授權單位或人員簽署之文件替代之。
五、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。
六、董事、監察人、經理人、從事證券投資顧問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。
信託業為外國銀行者，得以總行授權單位或人員簽署之文件代替董事、監察人之聲明書。
七、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，應載明資訊交互運用、廣告、公開舉辦投資分析活動或提供研究分析報告等經營業務有關之利益衝突防範作業及風險區隔事項。