Regulations Governing The Discretionary Foreign Currency Margin Trading Business Conducted By Authorized Banks Article 5
The Authorized Bank applying for the Discretionary Margin Trading should submit the following documents to the Bank for approval:1.Business Plan.2.Minutes of the board of directors meeting indicating the decision to conducte the business mentioned herein in the case of domestic banks, or the power of attorney issued from the headquarters or the regional headquarters of a foreign bank.3.Declaration of regulatory compliance.4.Risk disclosure statement.5.The resumes of the Dedlicated Unit's supervisor and trading manager.6.Other documents required by the Bank.The business plan mentioned in the preceding paragraph, Section 1, shall specify the operation principles of Discretionary Margin Trading, risk management, policy and procedures, segregation of duties between the Account Bank and Dedicated Unit, the fire wall system, internal control systems and the procedures for handling business disputes.
中文原文 指定銀行辦理外幣保證金交易代客操作業務管理辦法第5條
指定銀行申請辦理代客操作業務，應檢具下列書件，向本行申請許可：
一、營業計畫書。
二、本國銀行董事會決議辦理本項業務之議事錄或外國銀行總行（或區域總部）授權書。
三、法規遵循聲明書。
四、風險預告書。
五、專責單位主管與交易經理人之資歷表。
六、其他本行規定之文件。
前項第一款之營業計畫書，應載明辦理代客操作業務經營原則、風險管理、作業程序、專責單位與帳戶行間之權責劃分、防火牆機制等內部控制制度，以及營業糾紛之處理方式。
一、營業計畫書。
二、本國銀行董事會決議辦理本項業務之議事錄或外國銀行總行（或區域總部）授權書。
三、法規遵循聲明書。
四、風險預告書。
五、專責單位主管與交易經理人之資歷表。
六、其他本行規定之文件。
前項第一款之營業計畫書，應載明辦理代客操作業務經營原則、風險管理、作業程序、專責單位與帳戶行間之權責劃分、防火牆機制等內部控制制度，以及營業糾紛之處理方式。