Regulations Governing Concurrent Conduct of Trust Business by Securities Investment Trust Enterprises, Securities Investment Consulting Enterprises, and Securities Firms Article 4
A SITE, SICE or securities firm that applies for approval to conduct concurrently specific types of trust business shall meet the following requirements:1. A SITE or SICE that applies for approval to conduct discretionary investment business under a trust shall meet the requirements set forth in the Regulations Governing the Conduct of Discretionary Investment Business by Securities Investment Trust Enterprises and Securities Investment Consulting Enterprises.2. A securities firm that applies for approval to conduct wealth management business under a trust shall meet the qualification requirements for such business set forth in the Standards Governing the Establishment of Securities Investment Consulting Enterprises.3. A securities firm that applies for approval to conduct wealth management business under a trust shall meet the qualification requirements for such business set forth in the Directions for Securities Firms Engaging in Wealth Management Business. 4. A securities firm that applies for the establishment of a collective investment trust account where the total amount of trust monies accepted into the account may exceed NT$10,000,000 shall first obtain the approval of the competent authority to conduct discretionary investment business under a trust. 5. A securities firm that applies for approval to conduct the business of custody and investment of funds on behalf of customers under a trust shall meet the requirements set forth in the Regulations Governing Custody and Investment of Funds by Securities Firms on Behalf of Customers.6. Having not been ordered to take corrective actions and to improve within the specified period of time in accordance with Article 44 of the Act in the past half a year.7. Having not been subjected to disciplinary actions provided in Subparagraph 1, 2, or 3, Article 44 of the Act in the past two years.A SITE, SICE, or securities firm that does not meet the requirements set forth in subparagraph 6 or subparagraph 7 of the preceding paragraph is not restricted by the provisions in those two paragraphs, provided it has made improvement and is able to show concrete evidence of improvement.
中文原文 證券投資信託事業證券投資顧問事業證券商兼營信託業務管理辦法第4條
證券投資信託事業、證券投資顧問事業或證券商申請兼營信託業務之特定項目，應具備下列條件：
一、證券投資信託事業、證券投資顧問事業申請以信託方式辦理全權委託投資業務，應符合證券投資信託事業證券投資顧問事業經營全權委託投資業務管理辦法所定條件。
二、證券商申請以信託方式辦理全權委託投資業務，應符合證券投資顧問事業設置標準所定條件。
三、證券商申請以信託方式辦理財富管理業務，應符合證券商辦理財富管理業務應注意事項所定辦理該業務應具備之條件。
四、證券商申請設置之信託資金集合管理運用帳戶所得受理信託資金之加入總額達新臺幣一千萬元以上者，應先經主管機關核准以信託方式辦理全權委託投資業務。
五、證券商申請以信託方式辦理客戶委託保管及運用其款項業務，應符合證券商辦理客戶委託保管及運用其款項管理辦法所定條件。
六、最近半年未曾受本法第四十四條糾正、限期改善之處分。
七、最近二年未曾受本法第四十四條第一款、第二款或第三款規定之處分。
證券投資信託事業、證券投資顧問事業或證券商不符前項第六款及第七款之條件者，如已改善並提出具體證明，得不受該二款之限制。
一、證券投資信託事業、證券投資顧問事業申請以信託方式辦理全權委託投資業務，應符合證券投資信託事業證券投資顧問事業經營全權委託投資業務管理辦法所定條件。
二、證券商申請以信託方式辦理全權委託投資業務，應符合證券投資顧問事業設置標準所定條件。
三、證券商申請以信託方式辦理財富管理業務，應符合證券商辦理財富管理業務應注意事項所定辦理該業務應具備之條件。
四、證券商申請設置之信託資金集合管理運用帳戶所得受理信託資金之加入總額達新臺幣一千萬元以上者，應先經主管機關核准以信託方式辦理全權委託投資業務。
五、證券商申請以信託方式辦理客戶委託保管及運用其款項業務，應符合證券商辦理客戶委託保管及運用其款項管理辦法所定條件。
六、最近半年未曾受本法第四十四條糾正、限期改善之處分。
七、最近二年未曾受本法第四十四條第一款、第二款或第三款規定之處分。
證券投資信託事業、證券投資顧問事業或證券商不符前項第六款及第七款之條件者，如已改善並提出具體證明，得不受該二款之限制。