Regulations Governing Securities Investment Consulting Enterprises (Originally Adopted 2004.10.30) Article 4
When a SICE resumes business, it shall fill out an application form, attaching the following documents, and apply to the FSC for approval:1. An operations plan setting out the operating principles of the business, its internal organization and division of responsibilities, the hiring and training of personnel, the site and facilities, and a forecast of its financial status for the upcoming year.2. A declaration that none of the circumstances of Article 68 apply to the directors, supervisors, managerial officers, department supervisors, or associated persons of the SICE.3. The relevant minutes of the board of directors meeting.4. A register, provided by the Securities Investment Trust and Consulting Association of the R.O.C. ("the SITCA"), of SICE personnel who have passed the review of the qualifications, and documentation evidencing their qualifications.5. A declaration that the managerial officers, department supervisors, and associated persons are employed exclusively in those positions.6. A declaration that the application form and its attachments contain no misrepresentation or concealment.Under any one of the following circumstances, the FSC may deny approval to a SICE that applies to resume business:1. The content or matters set out in the application documents are discovered to contain misrepresentations.2. The operations plan lacks specificity or cannot be effectively implemented.3. Managerial officers, department supervisors, or associated persons do not meet the qualifications of the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises.4. A director, supervisor, managerial officer, department supervisor, or associated person has violated Article 68 of the Act.5. There is a likelihood that the professional expertise of the responsible person, managerial officers, department supervisors, or associated persons is insufficient for sound and effective management of a SICE.6. A review finds that the site and facilities, the complement of departments and personnel, or the financial status reported are not in compliance with law and regulation.
中文原文 證券投資顧問事業管理規則（931030訂定）第4條
證券投資顧問事業復業，應填具申請書，並檢具下列文件，向本會申請核准：
一、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。
二、董事、監察人、經理人、部門主管或業務人員無本法第六十八條規定情事之聲明書。
三、董事會議事錄。
四、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。
五、經理人、部門主管及業務人員均為專任之聲明書。
六、申請書及附件所載事項無虛偽、隱匿之聲明書。
證券投資顧問事業申請復業，有下列情形之一者，本會得不予核准：
一、申請文件內容或事項經發現有虛偽不實之情事。
二、營業計畫書內容欠具體或無法有效執行。
三、經理人、部門主管或業務人員不符合證券投資顧問事業負責人與業務人員管理規則所定之資格條件。
四、董事、監察人、經理人、部門主管或業務人員違反本法第六十八條規定。
五、負責人、經理人、部門主管或業務人員之專業能力有無法健全有效經營證券投資顧問事業之虞。
六、所申報場地設備、部門及人員之配置、財務狀況等事項，經審查不符合法令規定。
一、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。
二、董事、監察人、經理人、部門主管或業務人員無本法第六十八條規定情事之聲明書。
三、董事會議事錄。
四、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。
五、經理人、部門主管及業務人員均為專任之聲明書。
六、申請書及附件所載事項無虛偽、隱匿之聲明書。
證券投資顧問事業申請復業，有下列情形之一者，本會得不予核准：
一、申請文件內容或事項經發現有虛偽不實之情事。
二、營業計畫書內容欠具體或無法有效執行。
三、經理人、部門主管或業務人員不符合證券投資顧問事業負責人與業務人員管理規則所定之資格條件。
四、董事、監察人、經理人、部門主管或業務人員違反本法第六十八條規定。
五、負責人、經理人、部門主管或業務人員之專業能力有無法健全有效經營證券投資顧問事業之虞。
六、所申報場地設備、部門及人員之配置、財務狀況等事項，經審查不符合法令規定。