Regulations Governing Futures Trust Enterprises Article 6

A futures trust enterprise shall adopt an internal control system pursuant to the Regulations Governing the Establishment of Internal Control Systems by Service Enterprises in Securities and Futures Markets as adopted by the competent authority, as well as the Rules Establishing Standards for the Internal Control Systems of Futures Trust Enterprises as adopted by the Association or any other futures-related institution designated by the competent authority.The futures trust enterprise shall conduct business operations in accordance with laws and regulations, its articles of incorporation, as well as its internal control system referred to in the preceding paragraph.The internal control system referred to in paragraph 1, and any change thereto, shall be submitted for the approval of the board of directors prior to adoption and shall be retained on file for reference. When the competent authority or the futures-related institution designated by the competent authority gives a notice requiring any change thereto, such change shall be made within the specified time limit.