Standards Governing the Establishment of Securities Investment Consulting Enterprises Article 7
For operation of a SICE, an application shall be made with 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: 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. Promoters meeting minutes.4. A register of promoters, specifying: name (individual or company), national ID (or alien resident certificate, alien permanent resident certificate, or passport) number or government uniform invoice (GUI) number, address or company location, capital contribution, and subscription ratio. For natural-person promoters, the application must be accompanied by documentary proof of identify. For juristic-person promoters, the application must be accompanied by articles of incorporation, photocopy of documentary proof of incorporation registration, documentary proof of status as an ongoing concern, letter of appointment of the representative and letter of acceptance from the appointed person, CPA-audited and attested financial report for the last fiscal year, register of directors, register of supervisors, register of major shareholders with a shareholding of 3% or more, and register of affiliated enterprises.5. Written statement(s) that none of the circumstances in Article 68 of the SITC Act exists with respect to any promoter.6. If a promoter's duties are to be exercised by a representative or designated representative, the application shall be accompanied by a written statement that none of the circumstances in Article 68 of the SITC Act exists with respect thereto.7. [A description of the] accounting system.8. 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7條
經營證券投資顧問事業，應填具申請書，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：載明業務經營之原則、內部組織分工、人員招募與訓練、場地設備概況及未來一年財務狀況預估。
三、發起人會議紀錄。
四、發起人名冊：載明姓名或名稱、身分證（外僑居留證、永久居留證或護照）號碼或公司統一編號、住址、公司所在地、出資額及認股比率。
自然人發起人應檢附身分證明文件；法人發起人應檢附公司章程、公司設立登記證明文件影本、繼續經營之證明文件、代表人出任之指派書及被指派人同意書、經會計師查核簽證之最近一年度財務報告、董事名冊、監察人名冊、持股百分之三以上主要股東名冊及關係企業名冊。
五、發起人無本法第六十八條規定情事之聲明書。
六、發起人之代表人或指定代表人行使職務者，無本法第六十八條規定情事之聲明書。
七、會計制度。
八、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：載明業務經營之原則、內部組織分工、人員招募與訓練、場地設備概況及未來一年財務狀況預估。
三、發起人會議紀錄。
四、發起人名冊：載明姓名或名稱、身分證（外僑居留證、永久居留證或護照）號碼或公司統一編號、住址、公司所在地、出資額及認股比率。
自然人發起人應檢附身分證明文件；法人發起人應檢附公司章程、公司設立登記證明文件影本、繼續經營之證明文件、代表人出任之指派書及被指派人同意書、經會計師查核簽證之最近一年度財務報告、董事名冊、監察人名冊、持股百分之三以上主要股東名冊及關係企業名冊。
五、發起人無本法第六十八條規定情事之聲明書。
六、發起人之代表人或指定代表人行使職務者，無本法第六十八條規定情事之聲明書。
七、會計制度。
八、申請書及附件所載事項無虛偽、隱匿之聲明書。