Standards Governing the Establishment of Securities Firms Article 39

Law:: Standards Governing the Establishment of Securities Firms
Chinese:: 證券商設置標準第39條

When a securities firm or a financial institution that concurrently operates securities business applies for an additional type of business, it shall submit all of the following documentation to the FSC to apply for permission:1. Articles of incorporation or document equivalent to articles of incorporation.2. Business plan: specifying the principles for the operation of the additional type of business; internal organization and division of labor; personnel recruitment; overview of the site and facilities; and financial forecasts for the next 3 years.3. Meeting minutes of the board of directors (or board of governors).4. Internal control system required under Article 11 (including the additional business type).5. Documentation affirming the availability of the computer linkage as required under Article 8.6. Other documents as required by the FSC.

中文原文證券商設置標準第39條

證券商或兼營證券業務之金融機構申請增加業務種類，應檢具左列書件向本會申請許可：
一、公司章程或相當於公司章程之文件。
二、營業計劃書：載明增加業務種類經營之原則、內部組織分工、人員招募、場地設備概況及未來三年之財務預測。
三、董事會（理事會）議事錄。
四、第十一條規定之內部控制制度（含增加之業務種類）。
五、已依第八條規定取得電腦連線之承諾文件。
六、其他經本會規定應提出之文件。

English translation for reference only; the Chinese text prevails. Not legal advice.