With the exception of a trust enterprise seeking to concurrently operate discretionary investment business or securities investment consulting business, in which case the requirements of the FSC Banking Bureau shall apply, a SICE applying to the FSC for issuance of a business license shall pay a license fee in an amount as described below:
1.For the establishment of a SICE, 1/4,000th of statutory minimum paid-in capital.
2.For the establishment of a branch unit by a SICE, NT$2,000.
With the exception of a trust enterprise seeking to concurrently operate discretionary investment business or securities investment consulting business, in which the requirements of the FSC Banking Bureau shall apply, or of an insurance enterprise seeking to concurrently operate discretionary investment business, in which case the requirements of the FSC Insurance Bureau shall apply, an enterprise in another line of business applying to the FSC for re-issuance of a business license for concurrent operation of securities investment consulting business shall pay a license fee in an amount as described below:
1.For the concurrent operation of securities investment consulting business by a SITE, securities broker, or futures broker, 1/4,000th of the statutory minimum paid-in capital set out in Article 5.
2.For the concurrent operation of a SICE that conducts discretionary investment business by a securities broker, futures broker, or managed futures enterprise, 1/4,000th of the statutory minimum paid-in capital set out in the Discretionary Investment Regulations. When a securities broker that concurrently operates a SICE applies to the FSC for re-issuance of a business license in relation to the additional conduct of mandate-type or trust-type discretionary investment business, it shall pay a license fee of NT$1,000.
3.For the concurrent operation of a SICE that conducts discretionary investment business by a futures trust enterprise, 1/4,000th of the statutory minimum paid-in capital.
4.When a securities broker, futures broker, managed futures enterprise, or futures trust enterprise concurrently operating a SICE that conducts discretionary investment business applies for a branch unit to engage in promotion and solicitation for its discretionary investment business, NT$2,000.
A SICE applying to the FSC for re-issuance of a business license shall pay a license fee of NT$1,000.
The license fee is not required for an application for re-issuance of a business license because of a change of address due to administrative re-districting or re-numbering of street address plate numbers.

The provisions of these Standards, excepting Article 3 and Chapters II and IV, shall apply mutatis mutandis to a SITE, securities broker, or futures broker concurrently operating or seeking to concurrently operate securities investment consulting business, to a securities broker, futures broker, managed futures enterprise, or futures trust enterprise concurrently operating or seeking to concurrently operate a SICE that conducts discretionary investment business, and to an insurance enterprise concurrently operating or seeking to concurrently operate discretionary investment business.
The provisions of these Standards, excepting Articles 2, 3 and Chapters II and IV, shall apply mutatis mutandis to a trust enterprise concurrently operating or seeking to concurrently operate discretionary investment business or securities investment consulting business.
If a securities broker concurrently operating a SICE that conducts securities investment consulting business obtains approval to conduct wealth management business, it may merge the required dedicated consulting department with the wealth management business department.
If a trust enterprise concurrently operating securities investment consulting business is concurrently operated by a bank, the required dedicated consulting department may be merged with the wealth management business department, if any.

In the case of any incomplete submission of the application documents required by these Standards or if any required information is missing or incomplete, and if the FSC imposes a deadline for supplementation or correction and the deadline is not met, the application shall be dismissed.

If a SICE established prior to the amendment to and issuance of these Standards on 2 May 2008 does not conform to the requirements of these Standards, it shall cure the non-conformance within 1 year after such amendment and issuance, failing which the FSC shall revoke its business permission. Notwithstanding the foregoing, if there is legitimate reason, an application may be filed with the FSC before expiration of that period for a maximum extension of 3 months, one time only.

The format of documents required by these Standards shall be announced by the FSC.

These Standards shall enter into force from the date of issuance.