Regulations Governing Custody and Investment of Funds by Securities Firms on Behalf of Customers Article 9
A securities firm applying for approval to keep custody of and invest funds on behalf of customers shall fill out and submit an application form, with the following documents attached, for review by the Taiwan Stock Exchange and forwarding to the competent authority for approval:1. A written description of the internal control system.2. A financial report for the most recent fiscal year, audited and certified by a CPA. If the date of application is more than 6 months past the start of the new fiscal year, the CPA-audited and certified financial report for the first half of the fiscal year shall also be attached.3. The minutes of the board meeting in which the resolution to apply to operate this business was made.4. Documentary proof of the qualifications specified in Article 6, paragraph 1, subparagraphs 2 to 4, and subparagraph 5, item 5.5. Other documents as required by the competent authority.
中文原文 證券商辦理客戶委託保管及運用其款項管理辦法第9條
證券商申請辦理客戶委託保管及運用其款項業務，應填具申請書並檢具下列書件，由證券交易所審查並轉報主管機關核准：
一、書面內部控制制度。
二、最近年度經會計師查核簽證之財務報告。
其於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。
三、決議申請辦理本業務之董事會議事錄。
四、符合第六條第一項第二款至第四款資格條件及第五款第五目之證明文件。
五、其他經主管機關規定應檢附之文件。
一、書面內部控制制度。
二、最近年度經會計師查核簽證之財務報告。
其於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。
三、決議申請辦理本業務之董事會議事錄。
四、符合第六條第一項第二款至第四款資格條件及第五款第五目之證明文件。
五、其他經主管機關規定應檢附之文件。