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Article NO. Content

Title:

Standards Governing the Establishment of Securities Firms  CH

Amended Date: 2021.05.06 
Article 23     In filing an application with the FSC for the permit to establish branch units, a securities firm shall submit all of the following documentation:
  1. The application for establishment of branch units (Annex 8).
  2. Articles of incorporation or equivalent documentation.
  3. A business plan which specifies: the principles of business operation by branch units; the division of internal organization; the employment of personnel; the description of facilities; and its financial projection for the next 3 years.
  4. The minutes of the Board of directors.
  5. The system of internal control required under Article 11 (including that of the branch units).
  6. The documentation affirming the availability to the computer linkage as required under Article 22, paragraph 2 or 3.
  7. Other documents that the FSC may so require.