Standards Governing the Establishment of Securities Investment Consulting Enterprises Article 42
A SICE intending to establish a branch unit shall apply to the FSC for permission by filling out and submitting an application form, together with the following documents:1. Articles of incorporation.2. A business plan, specifying, with respect to the branch unit: operational principles; internal organization and segregation of duties; personnel recruitment and training; general description of premises and facilities; and financial forecasts for the coming year.3. Minutes of the relevant board of directors meetings, showing the resolution to establish the branch unit.4. A description of the internal control system for the branch unit.5. The CPA-audited and certified 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.6. A written statement that the application form and its attachments contain no misrepresentations or nondisclosures.
中文原文 證券投資顧問事業設置標準第42條
證券投資顧問事業設立分支機構，應填具分支機構設立申請書，並檢具下列文件，向本會申請許可：
一、公司章程。
二、營業計畫書：應載明分支機構業務經營之原則、內部組織分工、人員招募、場地設備概況及未來一年財務狀況預估。
三、載明設立分支機構決議之董事會議事錄。
四、分支機構內部控制制度。
五、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。
六、申請書及附件所載事項無虛偽、隱匿之聲明書。
一、公司章程。
二、營業計畫書：應載明分支機構業務經營之原則、內部組織分工、人員招募、場地設備概況及未來一年財務狀況預估。
三、載明設立分支機構決議之董事會議事錄。
四、分支機構內部控制制度。
五、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。
六、申請書及附件所載事項無虛偽、隱匿之聲明書。