Regulations Governing the Operation of Futures Introducing Broker Business by Securities Firms Article 12
Within 6 months from the date of the FSC's approval, the securities firm applying to operate futures introducing broker business shall submit the following document to the FSC for issuance of a permit license:1. Application;2. Photocopy of the securities firm's business license;3. The internal control system for operation of futures introducing broker business;4. List of managers and associated persons handling futures introducing broker business and certificates of qualification of associated persons;5. A declaration that the managers and associated persons handling futures introducing broker business do not have the conditions stated in Article 4 of the Standards Governing the Establishment of Futures Commission Merchants;6. Supporting documents that the applicant has deposited the operation bond pursuant to Article 17 herein;7. Supporting documents that the applicant is equipped with transmission facilities required for operation of futures introducing broker business;8. Supporting documents that the mandating futures commission merchant agrees to deposit additional funds to the clearing and settlement fund pursuant to paragraph 2 of Article 8 herein;9. A letter of consent stating that the applicant agrees to the examination of its finance, business, and other necessary matters by the FSC, the futures exchange, or FSC-designated institution, and that the applicant agrees to provide explanations and relevant documents in connection with the examination by the above-mentioned institutions; and10. Evidentiary documents attesting to conformance with the provisions of Article 10, subparagraph 5.11. Evidentiary documents attesting to conformance with the provisions of Article 9-1.12. A case checklist.13. Other documents as required by the FSC.In the event that a securities firm fails to apply for issuance of a permit license within the time limit referred to in the preceding paragraph, the permission for its operation of futures introducing broker business shall be revoked; provided that if the securities firm has justified reasons, it may, prior to the expiration of the said time limit, apply for extension to the FSC. The extension period shall not be more than 6 months, and only one extension is allowed.
中文原文 證券商經營期貨交易輔助業務管理規則第12條
證券商申請經營期貨交易輔助業務，應自本會許可之日起六個月內，檢具下列書件，向本會申請核發許可證照：
一、申請書。
二、證券商許可證照影本。
三、經營期貨交易輔助業務之內部控制制度。
四、辦理期貨交易輔助業務之經理人、業務員名冊及業務員資格證明文件。
五、辦理期貨交易輔助業務之經理人及業務員無期貨商設置標準第四條規定情事之聲明文件。
六、已依第十七條規定繳存營業保證金之證明文件。
七、具備經營期貨交易輔助業務必要傳輸設備之證明文件。
八、委任期貨商同意依第八條第二項規定增繳交割結算基金之證明文件。
九、同意本會、期貨交易所或本會指定之機構對其財務、業務及其他必要事項進行查核，及就前揭機構之查核提出說明及提供相關文件之同意函。
十、符合第十條第五款規定之證明文件。
十一、符合第九條之一規定之證明文件。
十二、案件檢查表。
十三、其他經本會規定應提出之文件。
證券商未於前項期間內申請核發許可證照者，廢止其經營期貨交易輔助業務之許可。
但有正當理由，在期限屆滿前，得向本會申請延展，延展期限不得超過六個月，並以一次為限。
一、申請書。
二、證券商許可證照影本。
三、經營期貨交易輔助業務之內部控制制度。
四、辦理期貨交易輔助業務之經理人、業務員名冊及業務員資格證明文件。
五、辦理期貨交易輔助業務之經理人及業務員無期貨商設置標準第四條規定情事之聲明文件。
六、已依第十七條規定繳存營業保證金之證明文件。
七、具備經營期貨交易輔助業務必要傳輸設備之證明文件。
八、委任期貨商同意依第八條第二項規定增繳交割結算基金之證明文件。
九、同意本會、期貨交易所或本會指定之機構對其財務、業務及其他必要事項進行查核，及就前揭機構之查核提出說明及提供相關文件之同意函。
十、符合第十條第五款規定之證明文件。
十一、符合第九條之一規定之證明文件。
十二、案件檢查表。
十三、其他經本會規定應提出之文件。
證券商未於前項期間內申請核發許可證照者，廢止其經營期貨交易輔助業務之許可。
但有正當理由，在期限屆滿前，得向本會申請延展，延展期限不得超過六個月，並以一次為限。