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Applications Process

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Operation process for securities firms to apply for the permission to concurrently engage in futures business (1st stage)

Name of the Application form:Operation process for securities firms to apply for the permission to concurrently engage in futures business (1st stage)
Responsible agency:Section 7, the Securities and Future Bureau of Financial Supervisory Commission, Executive Yuan
Application forms available for downloading:

Application form for local securities firm to apply for the permission to concurrently engage in futures business,

Check-list of the application for the permission to concurrently engage in futures business 1

Sample form:Downloading of the sample of the application form
Legal basis:Rules Governing the Establishment Criteria of Futures Commission Merchants
Application process:Application flowchart
Documents required to be attached:
  1. Application form.
  2. Corporate constitution
  3. Operating plan: Futures business operating principles, risk control method of the headquarters, labor division of internal organization, personnel recruitment and training, site equipment status, and futures division’s financial prediction respectively for the opening year and the following year shall be stated.
  4. Rules to segment the risk between securities business and futures business and handle their conflict of interest
  5. Shareholders’ meeting or board meeting minutes book
  6. Director and supervisor rosters
  7. The latest financial reports audited and certified by the certified public accountant.
  8. Certificate documents in compliance with subparagraph 6 of article 24 of Rules Governing the Establishment Criteria of Futures Commission Merchants.
  9. Certificate documents of the amount deposited in accordance with article 27 of Rules Governing the Establishment Criteria of Futures Commission Merchants
  10. Case’s check-list (table 8).
  11. Other documents required to be submitted as regulated by the Commission 
     
Related Q&A: 
Contact person:Tel. No.  02-8773-5100  ext.7103
Latest updated date:January 22,2009

Visitor: 3315   Update: 2017-10-12
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