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Article 5
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A securities firm that applies to conduct securities business money lending shall fill out an application form, attach the documents listed below, and submit them to the TWSE to review and forward to the competent authority for approval:
- Internal control system.
- Financial report of the most recent fiscal year audited and attested by a certified public accountant (CPA). Where the application is submitted more than 6 months after the beginning of the fiscal year, the financial report for the first half of the year audited and certified by a CPA, shall also be submitted.
- Board of directors meeting minutes.
- Evidentiary documentation of compliance with Article 3, paragraph 1, subparagraphs 1, 2, and 7.
- Other documents required by the competent authority.
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