Regulations Governing Securities Investment Consulting Enterprises (Originally Adopted 2004.10.30) Article 21
Operation of investment consulting services for foreign securities may be undertaken only after FSC approval is obtained through application with the required application form and the following supporting documents:1. The CPA-audited and attested financial report for the most recent period. If the date of application is more than 6 months past the start of the new fiscal year, the CPA-audited and attested financial report for the first half of the fiscal year shall additionally be submitted.2. A statement of compliance with paragraph 1, subparagraph 2 of the preceding Article.3. Internal management system for the operation of foreign securities investment consulting business.4. Documentary evidence issued by the SITCA certifying that the premises, facilities, and personnel allocation have been reviewed and found to meet requirements.5. A statement that there is no misrepresentation or concealment in the application form and the appendices.6. Other documents as required by FSC regulations.The internal management system under subparagraph 3 of the preceding paragraph shall include operating principles for sufficiently understanding customers, business solicitation, investment analysis, resolution of business disputes, and personnel training and administration.The scope of foreign securities for which an approved operator of investment consulting business for foreign securities may provide consulting services, and any change thereto, shall be submitted for review and approval by the SITCA, and the SITCA shall submit a monthly report to the FSC.The required application documents under the preceding paragraph, and any amendment thereto, shall be prescribed by the SITCA and submitted to the FSC for approval.
中文原文 證券投資顧問事業管理規則（931030訂定）第21條
經營外國有價證券投資顧問業務者，應填具申請書，並檢具下列文件，向本會申請核准：
一、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。
二、符合前條第一項第二款之聲明書。
三、經營外國有價證券投資顧問業務之內部管理制度。
四、同業公會出具場地設備及人員設置審查合格之證明文件。
五、申請書及附件所載事項無虛偽、隱匿之聲明書。
六、其他經本會規定應提出之文件。
前項第三款內部管理制度，應包括充分瞭解客戶、業務招攬、投資分析、營業紛爭處理及人員教育訓練與管理事項之作業原則。
經核准經營外國有價證券投資顧問業務者，其提供顧問外國有價證券之範圍，應送同業公會審查核准，並由同業公會按月彙報本會；變更時，亦同。
前項應檢具之申請書件，由同業公會擬訂，報經本會核定；修正時，亦同。
一、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。
二、符合前條第一項第二款之聲明書。
三、經營外國有價證券投資顧問業務之內部管理制度。
四、同業公會出具場地設備及人員設置審查合格之證明文件。
五、申請書及附件所載事項無虛偽、隱匿之聲明書。
六、其他經本會規定應提出之文件。
前項第三款內部管理制度，應包括充分瞭解客戶、業務招攬、投資分析、營業紛爭處理及人員教育訓練與管理事項之作業原則。
經核准經營外國有價證券投資顧問業務者，其提供顧問外國有價證券之範圍，應送同業公會審查核准，並由同業公會按月彙報本會；變更時，亦同。
前項應檢具之申請書件，由同業公會擬訂，報經本會核定；修正時，亦同。