Regulations Governing Concurrent Conduct of Trust Business by Securities Investment Trust Enterprises, Securities Investment Consulting Enterprises, and Securities Firms Article 5
A SITE, SICE, or securities firm that applies for approval to conduct concurrently specific types of trust business shall prepare an application and submit it together with the following documents to the competent authority for approval:1. A SITE or SICE that applies for approval to conduct discretionary investment business under a trust shall submit application documents required for conducting such business under the Regulations Governing the Conduct of Discretionary Investment Business by Securities Investment Trust Enterprises and Securities Investment Consulting Enterprises as well as qualification documents evidencing compliance with the requirements set forth in Subparagraph 1, Paragraph 1 of the preceding article;2. A securities firm that applies for approval to conduct discretionary investment business under a trust shall submit application documents required for conducting such business under the Standards Governing the Establishment of Securities Investment Consulting Enterprises as well as qualification documents evidencing compliance with the requirements set forth in Subparagraph 2, Paragraph 1 of the preceding article;3. A securities firm that applies for approval to conduct wealth management business under a trust shall submit application documents required for conducting such business under the Directions for Securities Firms Engaging in Wealth Management Business as well as qualification documents evidencing compliance with the requirements set forth in Subparagraph 3, Paragraph 1 of the preceding article;4. A securities firms that applies for approval to conduct the business of custody and investment of funds on behalf of customers under a trust shall submit application documents required for conducting such business under the Regulations Governing Custody and Investment of Funds by Securities Firms on Behalf of Customers as well as qualification documents evidencing compliance with the requirements set forth in Subparagraph 5, Paragraph 1 of the preceding article;5. A statement of undertaking declaring compliance with the provisions in Subparagraphs 6 and 7, Paragraph 1 of the preceding article;6. A business plan;7. A specimen of trust agreement;8. Namelist of business personnel operating and managing the trust business and their qualification documents; and9. Other documents as required by the competent authority.A securities firm that applies for the establishment of a collective investment trust account shall follow the provisions of the Regulations Governing Management and Utilization of Collective Investment Trust Funds and relevant rules and regulations, and submit relevant documents for the following items:1. A statement of undertaking declaring compliance with the provisions in Subparagraphs 6 and 7, Paragraph 1 of the preceding article2. Qualification documents evidencing compliance with the requirements set forth in Subparagraph 3, Paragraph 1 of the preceding article; and3. Documents evidencing approval by the competent authority to conduct discretionary investment business under a trust if a securities firm 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.
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5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，應填具申請書，並檢具下列文件，向主管機關申請許可：
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，應檢具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申請文件及符合前條第一項第一款所定條件之資格證明文件。
二、證券商申請以信託方式辦理全權委託投資業務，應檢具證券投資顧問事業設置標準所定申請文件及符合前條第一項第二款所定條件之資格證明文件。
三、證券商申請以信託方式辦理財富管理業務，應檢具證券商辦理財富管理業務應注意事項所定申請文件及符合前條第一項第三款所定條件之資格證明文件。
四、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，應檢具證券商辦理客戶委託保管及運用其款項管理辦法所定申請文件及符合前條第一項第五款所定條件之資格證明文件。
五、聲明符合前條第一項第六款及第七款規定之聲明書。
六、營業計畫書。
七、信託契約範本。
八、經營與管理信託業務人員名冊與資格證明文件。
九、主管機關規定之其他文件。
證券商申請設置信託資金集合管理運用帳戶，應依信託資金集合管理運用管理辦法及其相關法令規定辦理，並應依下列事項檢具相關文件：
一、聲明符合前條第一項第六款及第七款規定之聲明書。
二、符合前條第一項第三款所定條件之資格證明文件。
三、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，已經主管機關核准以信託方式辦理全權委託投資業務之證明文件。
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，應檢具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申請文件及符合前條第一項第一款所定條件之資格證明文件。
二、證券商申請以信託方式辦理全權委託投資業務，應檢具證券投資顧問事業設置標準所定申請文件及符合前條第一項第二款所定條件之資格證明文件。
三、證券商申請以信託方式辦理財富管理業務，應檢具證券商辦理財富管理業務應注意事項所定申請文件及符合前條第一項第三款所定條件之資格證明文件。
四、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，應檢具證券商辦理客戶委託保管及運用其款項管理辦法所定申請文件及符合前條第一項第五款所定條件之資格證明文件。
五、聲明符合前條第一項第六款及第七款規定之聲明書。
六、營業計畫書。
七、信託契約範本。
八、經營與管理信託業務人員名冊與資格證明文件。
九、主管機關規定之其他文件。
證券商申請設置信託資金集合管理運用帳戶，應依信託資金集合管理運用管理辦法及其相關法令規定辦理，並應依下列事項檢具相關文件：
一、聲明符合前條第一項第六款及第七款規定之聲明書。
二、符合前條第一項第三款所定條件之資格證明文件。
三、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，已經主管機關核准以信託方式辦理全權委託投資業務之證明文件。