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.
Rules to segment the risk between securities business and futures business and handle their conflict of interest
Shareholders’ meeting or board meeting minutes book
Director and supervisor rosters
The latest financial reports audited and certified by the certified public accountant.
Certificate documents in compliance with subparagraph 6 of article 24 of Rules Governing the Establishment Criteria of Futures Commission Merchants.
Certificate documents of the amount deposited in accordance with article 27 of Rules Governing the Establishment Criteria of Futures Commission Merchants
Case’s check-list (table 8).
Other documents required to be submitted as regulated by the Commission