Regulations Governing Futures Trust Enterprises Article 56

No responsible person, department head, branch unit manager, or fund manager of a futures trust enterprise, who or whose spouse serves as a director, supervisor, or managerial officer, or a shareholder holding 5% or more of the total number of issued shares, of a securities issuing company may participate in the decision making process when the futures trust enterprise uses assets of a futures trust fund to conduct trading in the securities of such issuing company or in any equity derivatives or securities of which securities of such issuing company are underlying securities.Except as otherwise provided by law or regulation, no responsible person, department head, or branch unit manager of a futures trust enterprise, and no shareholder representative for shareholding of the futures trust enterprise in an issuing company, may serve as a director, supervisor, or managerial officer of a stock issuing company in which any of its futures trust funds holds shares.Except as otherwise provided by law or regulation, no responsible person, department head, or branch unit manager of a futures trust enterprise may invest in another futures trust enterprise or serve as a director, supervisor, or managerial officer of another enterprise which is a futures trust enterprise, managed futures enterprise, futures advisory enterprise, or futures commission merchant.The calculation of the shareholding of a shareholder holding 5% or more of the total number of issued shares under paragraph 1 shall include shares held by the shareholder's spouse and minor children and shares held through nominees.