Regulations Governing Information to be Published in Prospectuses by Futures Trust Enterprises Offering Futures Trust Funds Article 23
The "overview of the futures trust enterprise" item shall include the following information:1.Profile of the enterprise, specifying:A.Date of establishment.B.Process of capital formation over the most recent 3 years (Table 9).C.Lines of business.D.History, indicating, for the most recent 5 fiscal years, any fund offered, branch or subsidiary established, share transfer or change of director, supervisor or major shareholder, change of control, and any other important event.2.Enterprise organization, indicating the following information on the futures trust enterprise as of the end of the month preceding the prospectus printing date:A.Distribution of equity ownership:a.Shareholder structure, specifying the composition percentage of each class of shareholders (Table 10).b.Register of major shareholders, indicating the name of each shareholder having a shareholding of 5% or more, and the number and percentage of the shares held (Table 11).B.Organizational system, indicating the organizational structure of the futures trust enterprise, the type of business operations conducted by each principal department (or, in the case of an enterprise that concurrently operates the futures trust enterprise, by the department that is responsible for its concurrent operation of the futures trust enterprise), and the number of staff members.C.Names of the futures trust enterprise's general manger, vice general managers, and division heads (or, in the case of an enterprise in another line of business, the head of the department that is responsible for its concurrent operation of the futures trust enterprise), the dates they assumed their duties, the number and percentage of shares they hold in the enterprise, their major work experience and/or educational background, and, if applicable, any concurrent positions they hold at another company at the time (Table 12).D.Names of directors and supervisors and their election dates, terms of office, number and percentage of shares held in the futures trust enterprise at the time of election and at the present time, and major work experience and/or educational background (Table 13).3.Interested company disclosure, identifying any company having any of the following relationships with the futures trust enterprise as of the end of the month preceding the prospectus printing date:A.A company that has a relationship with the futures trust enterprise as set out in Chapter VI-I of the Company Act.B.A director or supervisor of the futures trust enterprise, or a shareholder with a combined shareholding of 5% or more in the futures trust enterprise.C.A director, supervisor, or managerial officer of the futures trust enterprise, or a shareholder with a combined shareholding of 5% or more in the futures trust enterprise, who is also a director, supervisor, managerial officer, or a shareholder holding 10% or more of the total number of issued shares of the given company, or who is the spouse of such a person (Table 14).4.Operating status:A.Indicate the name, date of establishment, number of beneficial units, amount of net assets, and net asset value per unit, of any other fund managed by the futures trust enterprise, current as of the end of the month preceding the date of printing (Table 15).B.Include the CPA audit reports, balance sheets, statements of comprehensive income, and statements of changes in shareholders' equity of the futures trust enterprise for the most recent 2 fiscal years.5.Penalties received, indicating the time and details of any disciplinary action or official reprimand received by the futures trust enterprise from the competent authority during the most recent 2 years.6.Litigious or non-litigious events, indicating, if there is any material case pending in a litigious, non-litigious, or administrative contentious proceeding by or against the futures trust enterprise, the result of which is likely to materially affect the interests of the beneficial owners, the facts in contention, the monetary value of the subject matter, date on which the proceeding commences, principal parties involved, and current status of the proceeding.