Regulations Governing the Operation of Futures Introducing Broker Business by Securities Firms Article 11
For operating futures introducing broker business, a securities firm shall submit the following documents to the FSC to apply for permission. However, a financial institution concurrently engaging in securities brokerage business shall also submit the approval documents issued by the competent authority in charge of said enterprise:1. Application;2. Articles of Incorporation or equivalent document;3. Business plan, stating principles of business operation, division of work of internal organization, personnel recruitment and training, and general conditions of business floor and equipment;4. Minutes of board of directors or governors meeting or shareholders meeting;5. Mandate agreement entered into with the mandating futures commission merchant;6. Supporting documents that the mandating futures commission merchant engaging in domestic futures brokerage business is a clearing member of domestic futures clearing house;7. Latest financial reports audited and attested or reviewed by certified public accountants;8. Supporting documents that the applicant meets the requirement in subparagraph 4 of the preceding Article;9. A case checklist; and10. Other documents as required by the FSC.
中文原文 證券商經營期貨交易輔助業務管理規則第11條
證券商經營期貨交易輔助業務，應檢具下列書件，向本會申請許可。
但金融機構兼營證券經紀業務者，應另檢具目的事業主管機關核准之文件：
一、申請書。
二、章程或相當章程之文件。
三、營業計畫書：載明期貨交易輔助業務經營之原則、內部組織分工、人員招募與訓練及場地設備概況。
四、董事會、理事會或股東會會議紀錄。
五、與委任期貨商所簽訂之委任契約。
六、經營國內期貨經紀業務之委任期貨商具本國期貨結算機構結算會員資格之證明文件。
七、最近期經會計師查核簽證或核閱之財務報告。
八、符合前條第五款規定之證明文件。
九、案件檢查表。
十、其他經本會規定應提出之文件。
但金融機構兼營證券經紀業務者，應另檢具目的事業主管機關核准之文件：
一、申請書。
二、章程或相當章程之文件。
三、營業計畫書：載明期貨交易輔助業務經營之原則、內部組織分工、人員招募與訓練及場地設備概況。
四、董事會、理事會或股東會會議紀錄。
五、與委任期貨商所簽訂之委任契約。
六、經營國內期貨經紀業務之委任期貨商具本國期貨結算機構結算會員資格之證明文件。
七、最近期經會計師查核簽證或核閱之財務報告。
八、符合前條第五款規定之證明文件。
九、案件檢查表。
十、其他經本會規定應提出之文件。