Standards Governing the Establishment of Securities Investment Consulting Enterprises Article 43
A SICE permitted to establish a branch unit shall, within 6 months from the day the FSC grants permission, complete the establishment registration procedures for the branch unit and apply to the FSC for issuance of a branch unit business license for the branch unit by filling out and submitting an application form, together with the following documents:1. A photocopy of the establishment registration of the branch unit.2. A register of qualified managerial officers and associated persons of the branch unit, issued by the SITCA after reviewing their qualifications, together with documentary proof of their qualifications.3. Written statement(s) that none of the circumstances in Article 68 of the SITC Act exists with respect to any managerial officer or associated person of the branch unit.4. Written statement(s) that all managerial officers and associated persons of the branch unit are employed as full-time staff.5. A photocopy of the ownership deed or lease agreement of the place of business of the branch unit, and floor plans and photographs thereof.6. Written statement(s) that the branch unit has an independent place of business not jointly used by any other enterprise.7. 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.8. A written statement that the application form and its attachments contain no misrepresentations or nondisclosures.The FSC may revoke the permission granted to the SICE for establishment of a branch unit if it fails to apply for issuance of a business license for that branch unit within the period set out in the preceding paragraph. 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 6 months, one time only.
中文原文 證券投資顧問事業設置標準第43條
證券投資顧問事業應自本會許可之日起六個月內完成分支機構設立登記，填具申請書，並檢具下列文件，向本會申請核發分支機構營業執照：
一、分支機構設立登記影本。
二、同業公會出具之分支機構經理人與業務人員資格審查合格之人員名冊及其資格證明文件。
三、分支機構經理人及業務人員無本法第六十八條規定情事之聲明書。
四、分支機構經理人及業務人員專任之聲明書。
五、分支機構營業處所之權狀影本或租賃契約影本及其平面圖、照片。
六、營業處所獨立且未與其他事業共同使用之聲明書。
七、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。
八、申請書及附件所載事項無虛偽、隱匿之聲明書。
證券投資顧問事業未於前項規定期間內申請核發分支機構營業執照者，本會得廢止其設立許可。
但有正當理由，於期限屆滿前，得向本會申請展延一次，並以六個月為限。
一、分支機構設立登記影本。
二、同業公會出具之分支機構經理人與業務人員資格審查合格之人員名冊及其資格證明文件。
三、分支機構經理人及業務人員無本法第六十八條規定情事之聲明書。
四、分支機構經理人及業務人員專任之聲明書。
五、分支機構營業處所之權狀影本或租賃契約影本及其平面圖、照片。
六、營業處所獨立且未與其他事業共同使用之聲明書。
七、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。
八、申請書及附件所載事項無虛偽、隱匿之聲明書。
證券投資顧問事業未於前項規定期間內申請核發分支機構營業執照者，本會得廢止其設立許可。
但有正當理由，於期限屆滿前，得向本會申請展延一次，並以六個月為限。