Standards Governing the Establishment of Securities Investment Consulting Enterprises Article 44
With the exception of a trust enterprise seeking to concurrently operate discretionary investment business or securities investment consulting business, in which case the requirements of the FSC Banking Bureau shall apply, a SICE applying to the FSC for issuance of a business license shall pay a license fee in an amount as described below:1. For the establishment of a SICE, 1/4,000th of statutory minimum paid-in capital.2. For the establishment of a branch unit by a SICE, NT$2,000.With the exception of a trust enterprise seeking to concurrently operate discretionary investment business or securities investment consulting business, in which the requirements of the FSC Banking Bureau shall apply, or of an insurance enterprise seeking to concurrently operate discretionary investment business, in which case the requirements of the FSC Insurance Bureau shall apply, an enterprise in another line of business applying to the FSC for re-issuance of a business license for concurrent operation of securities investment consulting business shall pay a license fee in an amount as described below:1. For the concurrent operation of securities investment consulting business by a SITE, securities broker, or futures broker, 1/4,000th of the statutory minimum paid-in capital set out in Article 5.2. For the concurrent operation of a SICE that conducts discretionary investment business by a securities broker, futures broker, or managed futures enterprise, 1/4,000th of the statutory minimum paid-in capital set out in the Discretionary Investment Regulations. When a securities broker that concurrently operates a SICE applies to the FSC for re-issuance of a business license in relation to the additional conduct of mandate-type or trust-type discretionary investment business, it shall pay a license fee of NT$1,000.3. For the concurrent operation of a SICE that conducts discretionary investment business by a futures trust enterprise, 1/4,000th of the statutory minimum paid-in capital.4. When a securities broker, futures broker, managed futures enterprise, or futures trust enterprise concurrently operating a SICE that conducts discretionary investment business applies for a branch unit to engage in promotion and solicitation for its discretionary investment business, NT$2,000.A SICE applying to the FSC for re-issuance of a business license shall pay a license fee of NT$1,000.The license fee is not required for an application for re-issuance of a business license because of a change of address due to administrative re-districting or re-numbering of street address plate numbers.
中文原文 證券投資顧問事業設置標準第44條
證券投資顧問事業向本會申請核發營業執照時，應依下列各款規定，繳納執照費：
一、設置證券投資顧問事業，按法定最低實收資本額四千分之一計算。
二、證券投資顧問事業設置分支機構者，為新臺幣二千元。
他業兼營證券投資顧問事業，除信託業兼營全權委託投資業務或證券投資顧問業務，應依本會銀行局規定辦理，或保險業兼營全權委託投資業務，應依本會保險局規定辦理外，向本會申請換發營業執照時，應依下列各款規定，繳納執照費：
一、證券投資信託事業、證券經紀商或期貨經紀商兼營證券投資顧問業務，應按第五條規定之法定最低實收資本額四千分之一計算。
二、證券經紀商、期貨經紀商或期貨經理事業兼營證券投資顧問事業辦理全權委託投資業務，應按全權委託管理辦法所定之法定最低實收資本額四千分之一計算。
證券經紀商兼營證券投資顧問事業新增以委任方式或信託方式辦理全權委託投資業務，向本會申請換發營業執照時，應繳納執照費新臺幣一千元。
三、期貨信託事業兼營證券投資顧問事業辦理全權委託投資業務，應按法定最低實收資本額四千分之一計算。
四、兼營證券投資顧問事業辦理全權委託投資業務之證券經紀商、期貨經紀商、期貨經理事業或期貨信託事業申請其分支機構辦理全權委託投資業務之推廣及招攬者，為新臺幣二千元。
證券投資顧問事業向本會申請換發營業執照時，應繳納執照費新臺幣一千元。
因行政區域調整或門牌改編地址變更而申請換發執照，免繳執照費。
一、設置證券投資顧問事業，按法定最低實收資本額四千分之一計算。
二、證券投資顧問事業設置分支機構者，為新臺幣二千元。
他業兼營證券投資顧問事業，除信託業兼營全權委託投資業務或證券投資顧問業務，應依本會銀行局規定辦理，或保險業兼營全權委託投資業務，應依本會保險局規定辦理外，向本會申請換發營業執照時，應依下列各款規定，繳納執照費：
一、證券投資信託事業、證券經紀商或期貨經紀商兼營證券投資顧問業務，應按第五條規定之法定最低實收資本額四千分之一計算。
二、證券經紀商、期貨經紀商或期貨經理事業兼營證券投資顧問事業辦理全權委託投資業務，應按全權委託管理辦法所定之法定最低實收資本額四千分之一計算。
證券經紀商兼營證券投資顧問事業新增以委任方式或信託方式辦理全權委託投資業務，向本會申請換發營業執照時，應繳納執照費新臺幣一千元。
三、期貨信託事業兼營證券投資顧問事業辦理全權委託投資業務，應按法定最低實收資本額四千分之一計算。
四、兼營證券投資顧問事業辦理全權委託投資業務之證券經紀商、期貨經紀商、期貨經理事業或期貨信託事業申請其分支機構辦理全權委託投資業務之推廣及招攬者，為新臺幣二千元。
證券投資顧問事業向本會申請換發營業執照時，應繳納執照費新臺幣一千元。
因行政區域調整或門牌改編地址變更而申請換發執照，免繳執照費。