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

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