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Operation process for securities firms to apply for the permission certificate for concurrently engaging in futures business (2nd stage)

Name of the Application form:Operation process for securities firms to apply for the permission certificate for concurrently engaging in futures business (2nd stage)
Responsible agency:Section 2, the Securities and Future Bureau of Financial Supervisory Commission, Executive Yuan
Application forms available for downloading:Application form
Sample form:Sample downloading
Legal basis:Rules Governing the Establishment Criteria of Futures Commission Merchants
Application process:Application flowchart
Documents required to be attached:
  1. Copy of the securities firm permission certificate
  2. The internal control system。
  3. Rosters of the managers and associated person involved in futures business, and manager (including full-time manger) and associated person qualification certificates issued by Chinese National Futures Association.
  4. Statement documents to claim that the managers and associated person in futures business are not in the situations as listed in article 4 of Rules Governing the Establishment Criteria of Futures Commission Merchants, and comply with paragraph 2 of article 26 of the Rules.
  5. Certificate documents of the operating bond deposited as regulated in article 14 of Rules Governing Futures Commission Merchants,
  6. Certificate documents of the transmission equipment required for obtaining real-time market trading information and trading.
  7. Certificate documents to show the permission to engage in futures trading at futures exchanges
  8. Certificate documents to show the requirement forclearing and settlement operation at futures clearing houses.
  9. The latest financial reports audited and certified by the certified public accountant. However, in the case that the financial reports attached in the application for the permission are in the same period as the latest financial reports, the latest financial reports can be exempt from submission.
  10. Certificate documents in compliance with article 6 of Rules Governing the Establishment Criteria of Futures Commission Merchants.
  11. Certificate documents in compliance with subparagraph 6 of article 24 of Rules Governing the Establishment Criteria of Futures Commission Merchants.
  12. Certificate documents in compliance with article 25 of Rules Governing the Establishment Criteria of Futures Commission Merchants.
  13. Case’s check-list
  14. Permit fee: NT$
  15. Other documents required to be submitted as regulated by the Commission
Related Q&A: 
Contact person:Tel.  02-87735100 begin_of_the_skype_highlighting              02-87735100      end_of_the_skype_highlighting  ext. 7224,7177,7338
Latest updated date:January 22, 2009

Visitor: 3282   Update: 2017-10-12
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