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Article 9
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In filing an application with the FSC for the permit to establish a securities firm, the promoters shall submit all of the following documentation:
- The application form (Annex 1).
- Articles of incorporation.
- A business plan which specifies: the principles of business operation; the division of internal organization; the employment of personnel; the description of facilities; and its financial projection for the next 3 years.
- The minutes of the promoters' meeting.
- The list of promoters (Annex 2).
- A statement from the promoters declaring the inapplicability of Article 4 (Annex 3).
- The certification of the deposit made under Article 7.
- The documentation affirming the availability to the computer linkage as required under Article 8.
- Other documents that the FSC may so require.
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