Standards Governing the Establishment of Securities Investment Consulting Enterprises Article 8
A SICE shall, within 6 months from the day the FSC grants permission, complete its company establishment registration and apply to the FSC for issuance of a business license by filling out and submitting an application form, together with the following documents:1. Documentary proof of company registration.2. Articles of incorporation.3. Operating bylaws.4. A shareholders register, and minutes of the relevant shareholders meetings.5. A register of directors, and minutes of the relevant board of directors meetings.6. A register of supervisors.7. A list of the managerial officers, department supervisors, and associated persons, issued by the Securities Investment Trust and Consulting Association of the R.O.C. (SITCA) after reviewing their qualifications, together with relevant documentary proof of their qualifications.8. Written statement(s) that all the managerial officers, department supervisors, and associated persons are hired as full-time staff.9. Written statement(s) that none of the circumstances in Article 68 of the SITC Act exists with respect to any director, supervisor, managerial officer, or associated person.10. A photocopy of the ownership deed or lease agreement of the place of business, and floor plans and photographs thereof.11. Written statement(s) that the SITE has an independent place of business not jointly used by any other enterprise.12. Documentary proof showing the deposit of an operating bond required by the Regulations Governing Securities Investment Consulting Enterprises.13. Documentary proof of admission to membership in the SITCA.14. A written statement that the application form and its attachments contain no misrepresentations or nondisclosures.The operating bylaws referred to in subparagraph 3 of the preceding paragraph shall set out a system of internal management for business operations with respect to operating principles, operating procedures, segregation of authority and duties, resolution of business disputes, personnel training and education, and management/administrative matters.The permission granted to the SICE shall be revoked if it fails to apply for re-issuance of a business license within the period specified in paragraph 1. 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.The SICE may not commence 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8條
證券投資顧問事業應自本會許可之日起六個月內完成公司設立登記，填具申請書，並檢具下列文件，向本會申請核發營業執照：
一、公司登記證明文件。
二、公司章程。
三、業務章則。
四、股東名冊及股東會議事錄。
五、董事名冊及董事會議事錄。
六、監察人名冊。
七、中華民國證券投資信託暨顧問商業同業公會（以下簡稱同業公會）出具之經理人、部門主管與業務人員資格審查合格之人員名冊及其資格證明文件。
八、經理人、部門主管及業務人員均為專任之聲明書。
九、董事、監察人、經理人及業務人員無本法第六十八條規定情事之聲明書。
十、營業處所之權狀影本或租賃契約影本及其平面圖、照片。
十一、營業處所獨立且未與其他事業共同使用之聲明書。
十二、已依證券投資顧問事業管理規則提存營業保證金之證明文件。
十三、同業公會同意入會之證明文件。
十四、申請書及附件所載事項無虛偽、隱匿之聲明書。
前項第三款業務章則，應載明業務之經營原則、作業手續、權責劃分、業務紛爭處理、人員教育訓練及管理事項等內部管理制度。
證券投資顧問事業未於第一項規定期間內申請核發營業執照者，廢止其許可。
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。
證券投資顧問事業非加入同業公會，不得開業。
一、公司登記證明文件。
二、公司章程。
三、業務章則。
四、股東名冊及股東會議事錄。
五、董事名冊及董事會議事錄。
六、監察人名冊。
七、中華民國證券投資信託暨顧問商業同業公會（以下簡稱同業公會）出具之經理人、部門主管與業務人員資格審查合格之人員名冊及其資格證明文件。
八、經理人、部門主管及業務人員均為專任之聲明書。
九、董事、監察人、經理人及業務人員無本法第六十八條規定情事之聲明書。
十、營業處所之權狀影本或租賃契約影本及其平面圖、照片。
十一、營業處所獨立且未與其他事業共同使用之聲明書。
十二、已依證券投資顧問事業管理規則提存營業保證金之證明文件。
十三、同業公會同意入會之證明文件。
十四、申請書及附件所載事項無虛偽、隱匿之聲明書。
前項第三款業務章則，應載明業務之經營原則、作業手續、權責劃分、業務紛爭處理、人員教育訓練及管理事項等內部管理制度。
證券投資顧問事業未於第一項規定期間內申請核發營業執照者，廢止其許可。
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。
證券投資顧問事業非加入同業公會，不得開業。