Regulations Governing Futures Trust Enterprises Article 26
A futures trust enterprise shall perform business operations in accordance with the Act, with orders issued under the Act, and with contractual requirements and, in doing so, shall fulfill the duty of care and fiduciary duty of a good administrator, and shall act in good faith.Except as otherwise provided by law or regulation, the enterprise under the preceding paragraph may not engage in any of the following conduct:1. Divulging information obtained in the course of business to others or using such information for the purposes of engaging in activities involving futures trading or transactions in futures-related spot instruments.2. When using assets of a futures trust fund to engage in futures trading or transactions in futures-related spot instruments, making purchases or sales for its own benefit or for the benefit of any other party, or, without legitimate reason, engaging in cross trading by taking the other side of an order placed with the investment capital of the trust fund.3. Engaging in any conduct that is false, deceptive, or could be misleading.4. When using assets of a futures trust fund to engage in futures trading or transactions in futures-related spot instruments, failing to allocate into the assets of the fund any handling fee returned, or other benefit paid, by a securities firm, futures commission merchant, or any other counterparty.5. Promoting the sale of beneficial certificates by agreeing upon or providing any specific benefit or consideration or by agreeing to absorb loss.6. Accepting money or other benefit in exchange for the transfer of a shareholder meeting proxy or for the exercise of voting rights attached to shares held by the futures trust fund.7. When using assets of a futures trust fund to engage in trading or investment activities, attempting to inflate or deflate the trading price of a certain futures trading contract or futures-related spot instrument, or engaging in any other conduct that could prejudice the interests of investors of the futures trust fund.8. When using assets of a futures trust fund to engage in futures trading or transactions in futures-related spot instruments, changing an executed trading order from the account of the fund to an account of its own or of any other party, or from an account of its own or of any other party to the account of the fund.9. Making any recommendation or providing advice on trading strategies for trading in a particular futures trading contract or a particular security, or providing analysis or forecast or advice services about the future trading price of a particular futures trading contract or a particular security, in a public setting or though mass media.10. Using non-full-time personnel to solicit customers or providing unreasonable commissions.11. Conducting business operations at a place not registered as its place of business.12. Engaging in any other conduct that would adversely affect the interests of customers or the operation of its business.Except as otherwise provided by law or regulation, the enterprise under paragraph 1 shall maintain the confidentiality of customers' personal information, trading histories, and other relevant information.A futures trust enterprise shall adopt and implement rules governing the administration of internal personnel in accordance with requirements of the Association.
中文原文 期貨信託事業管理規則第26條
期貨信託事業應依本法、本法授權訂定之命令及契約規定，以善良管理人之注意義務及忠實義務，本誠實信用原則執行業務。
前項事業，除法令另有規定外，不得有下列行為：
一、以業務上所知悉之消息洩露予他人或從事期貨交易及期貨相關現貨商品買賣之活動。
二、運用期貨信託基金從事期貨交易及期貨相關現貨商品買賣時，為自己或他人之利益買入或賣出，或無正當理由，與受託投資資金為相對委託之交易。
三、為虛偽、詐欺或其他足致他人誤信之行為。
四、運用期貨信託基金從事期貨交易及期貨相關現貨商品買賣時，未將證券商、期貨商或其他交易對手退還手續費或給付其他利益歸入基金資產。
五、約定或提供特定利益、對價或負擔損失，促銷受益憑證。
六、轉讓出席股東會委託書或藉行使期貨信託基金持有股票之投票表決權，收受金錢或其他利益。
七、運用期貨信託基金從事交易或投資時，意圖抬高或壓低某種期貨交易契約、期貨相關現貨商品之交易價格，或從事其他足以損害期貨信託基金投資人權益之行為。
八、運用期貨信託基金從事期貨交易及期貨相關現貨商品買賣時，將已成交之買賣委託，自基金帳戶改為自己或他人帳戶，或自自己或他人帳戶改為基金帳戶。
九、於公開場所或傳播媒體，對個別期貨交易契約或有價證券之買賣進行推介、提供交易策略之建議，或對個別期貨交易契約或有價證券未來交易價位作研判預測、建議。
十、利用非專職人員招攬客戶或給付不合理佣金。
十一、於非登記之營業處所經營業務。
十二、其他影響客戶之權益或本事業之經營者。
第一項事業對於客戶個人資料、往來交易資料及其他相關資料，除其他法律另有規定外，應保守秘密。
期貨信託事業應依同業公會規定訂定內部人員管理規範，並執行之。
前項事業，除法令另有規定外，不得有下列行為：
一、以業務上所知悉之消息洩露予他人或從事期貨交易及期貨相關現貨商品買賣之活動。
二、運用期貨信託基金從事期貨交易及期貨相關現貨商品買賣時，為自己或他人之利益買入或賣出，或無正當理由，與受託投資資金為相對委託之交易。
三、為虛偽、詐欺或其他足致他人誤信之行為。
四、運用期貨信託基金從事期貨交易及期貨相關現貨商品買賣時，未將證券商、期貨商或其他交易對手退還手續費或給付其他利益歸入基金資產。
五、約定或提供特定利益、對價或負擔損失，促銷受益憑證。
六、轉讓出席股東會委託書或藉行使期貨信託基金持有股票之投票表決權，收受金錢或其他利益。
七、運用期貨信託基金從事交易或投資時，意圖抬高或壓低某種期貨交易契約、期貨相關現貨商品之交易價格，或從事其他足以損害期貨信託基金投資人權益之行為。
八、運用期貨信託基金從事期貨交易及期貨相關現貨商品買賣時，將已成交之買賣委託，自基金帳戶改為自己或他人帳戶，或自自己或他人帳戶改為基金帳戶。
九、於公開場所或傳播媒體，對個別期貨交易契約或有價證券之買賣進行推介、提供交易策略之建議，或對個別期貨交易契約或有價證券未來交易價位作研判預測、建議。
十、利用非專職人員招攬客戶或給付不合理佣金。
十一、於非登記之營業處所經營業務。
十二、其他影響客戶之權益或本事業之經營者。
第一項事業對於客戶個人資料、往來交易資料及其他相關資料，除其他法律另有規定外，應保守秘密。
期貨信託事業應依同業公會規定訂定內部人員管理規範，並執行之。