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Article NO. Content

Title:

Directions for the Conduct of Wealth Management Business by Securities Firms  CH

Amended Date: 2015.01.21 
33     For an application for a securities firm's branch unit to conduct business set out in Point 2, paragraph 1, subparagraph 2 herein, the securities firm shall submit the application, together with following documents, to the TWSE, which shall review them and forward a report to the FSC for approval:
  1. Documentary proof of that the securities firm's head office has obtained the approval from the competent authority to operate wealth management and trust businesses.
  2. Minutes of the meeting at which the board of directors passed the resolution to apply to operate this line of business.
  3. Business plan: The trust business activities, types of trust business, operational procedures, accounting system, and internal control system (including internal audit system) for operating this line of business.
  4. A list of personnel that operate and manage trust business, and documentary proof of their qualifications.
  5. A written statement of the non-existence of the circumstances listed in Article 2 of the Regulations Governing Expertise or Experience with respect to the responsible person of the branch unit.
  6. Other documents as required by FSC regulations.
    Where the head office and a branch unit of a securities firm simultaneously apply for the approval to conduct the business under the preceding paragraph, they may consolidate the identical application documents.