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Securities firms participating in the Exchange shall complete and submit three copies each of the application, executed market usage contract, and the following documents to the TWSE:
- Photocopy of securities firm permit.
- Photocopy of documentary proof following company registration (or amendment registration) (if the applicant is not organized as a company and is operated on a concurrent basis by a financial institution, submit documentary proof of the approval for its establishment).
- Articles of incorporation, business plan, business bylaws, and shareholders list and their respective shareholdings.
- List of directors, supervisors, and managers, registration forms of same, photocopy of National Identity Card or household registration certificate, and declaration that declaring that the person does not fall within any of the categories under Article 53 of the Securities and Exchange Act.
- List of various levels of associated persons, registration form of same, photocopy of National Identity Card or household registration certificate, and declaration that declaring that the person does not fall within any of the categories under Article 54 of the Securities and Exchange Act.
- Financial reports audited and attested by a certified public accountant (CPA).
The format of the registration forms referred to in subparagraphs 4 and 5 of the preceding paragraph shall be prescribed by the Competent Authority.
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