Standards Governing the Establishment of Securities Investment Consulting Enterprises Article 29
A trust enterprise applying to concurrently operate the securities investment consulting business set out in Article 22, paragraph 1, subparagraph 3 shall, within 6 months from the day the FSC grants permission, submit the following documents and register in compliance with the requirements of the FSC Banking Bureau:1. A photocopy of the permission letter issued to the trust enterprise in response to its application to concurrently operate securities investment consulting business.2. A register of qualified personnel, issued by the SITCA after reviewing their qualifications, together with documentary proof of their qualifications.3. 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.4. Documentary proof of admission to membership in the SITCA.A trust enterprise permitted to concurrently operate securities investment consulting business may not, except where it has already been concurrently operating discretionary investment business, commence such business unless and until it has become a member of the SITCA.
中文原文 證券投資顧問事業設置標準第29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，應自本會許可之日起六個月內，檢具下列文件，依本會銀行局規定辦理登記：
一、信託業兼營證券投資顧問業務許可函影本。
二、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。
三、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。
四、同業公會同意入會之證明文件。
信託業除已兼營全權委託投資業務者外，兼營證券投資顧問業務非加入同業公會，不得開辦該項業務。
一、信託業兼營證券投資顧問業務許可函影本。
二、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。
三、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。
四、同業公會同意入會之證明文件。
信託業除已兼營全權委託投資業務者外，兼營證券投資顧問業務非加入同業公會，不得開辦該項業務。