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Applications Process

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Operation process for securities investment consulting enterprises to apply for permission (1st stage)

Name of the Application form:Operation process for securities investment consulting enterprises to apply for permission (1st stage)
Responsible agency:Securities Investment Trust and Consulting Division, The Securities and Futures Bureau of Financial Supervisory Commission, Executive Yuan 
 
Application forms available for downloading:Securities investment consulting enterprise establishment application form ,Review list of securities investment consulting enterprise’s establishment application (1st stage)
Sample form:Application sample, Review list sample
Legal basis:Securities Trust and Consulting Act,
Standards Governing the Establishment of Securities Investment Consulting Enterprises
Application process:Application flowchart
Documents required to be attached:
  1. Corporate constitution
  2. Operating plan: Business operating principles, labor division of internal organization, personnel recruitment and training, status of site facilities and financial prediction for the year to come shall be stated.
  3. Accounting system.
  4. Founders’ meeting minutes.
  5. Founders’ roster: Names or titles, ID (passport) nos. or companies’ uniform nos., addresses, companies’ locations, capital contribution amounts and share subscription ratios shall be stated.
  6. Identity certificate documents of the founders in natural person identity (the copies of ID cards or household certificates for local founders, and copies of passports or other equivalent documents for foreign founders)
  7. The copies of corporate constitution and company registration certificate documents of institutional founders, the certificate documents to show the continuation of company’s business, representatives’ appointment letters and appointment acceptance letters, the latest year’s financial reports audited and certified by the certified public accountant, director roster, supervisor roster, roster of major shareholders holding more than 3% of the company’s shares, and affiliated enterprise roster.
  8. Statement to claim that the founders are not in the situations as listed in article 68 of the Act.
  9. Statement to claim that the representatives or appointed representatives of the founders are not in the situations as listed in article 68 of the Act.
  10. The detailed list of the positions currently taken by the founders in other securities investment consulting enterprises, securities investment trust enterprises or securities firms as the shareholder, director, supervisor, manager or sales person.
  11. The review list of securities investment consulting enterprise’s establishment application
  12. Statement of nofalse and hiding information for the items stated on the application form and attachments.
  13. Other documents required to be submitted as regulated by Financial Supervisory Commission, Executive Yuan
Related Q&A: 
Contact person:Tel.:  02-27747159 begin_of_the_skype_highlighting              02-27747159      end_of_the_skype_highlighting 
Latest updated date:January 22,2009

Visitor: 3769   Update: 2017-10-12
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