Regulations Governing Futures Trust Enterprises Article 33

A futures trust enterprise shall fully understand and assess each customer's investment knowledge, investment experience, financial condition, and degree of risk tolerance.The futures trust enterprise or its fund distributor shall require each and all first-time subscription customers to furnish identification or incorporation documentation and to fill out their basic information.The futures trust enterprise or its fund distributor shall process any request for the subscription or redemption of a futures trust fund in accordance with the futures trust agreement, the prospectus, and the Association's Operating Procedures for the Offering, Issuance, and Sale of Futures Trust Funds and their Subscription and Redemption. For fund transactions that are above a specific amount or suspected of being money-laundering transactions, complete and accurate transaction records and documentation on subscription, redemption, or conversion shall be retained, and the provisions of the Money Laundering Control Act shall be complied with.When the futures trust enterprise pays a redemption price to a beneficial owner whose redemption in that specific case constitutes a short-swing trade according to the standards for determining short-swing trades for the given fund, the futures trust enterprise shall deduct from the redemption price a redemption fee for short-swing trading in the fund, in accordance with the provisions of the fund prospectus, which redemption fee shall be allocated into the assets of the fund.The futures trust enterprise's internal control system shall include operating principles regarding know-your-customer rules, sales conduct, prevention of short-swing trading, control of money laundering, and other operating principles required by applicable laws and regulations.