Regulations Governing Futures Trust Enterprises Article 9
Under any of the following circumstances, a futures trust enterprise shall act in accordance with applicable laws and regulations, and also submit a report by mail to the Association, which shall submit a consolidated report to the competent authority:1. Commencement of business.2. Change of director, supervisor, or managerial officer.3. Where the futures trust enterprise or any of its responsible persons, associated persons, or other personnel becomes involved in litigation or arbitration, or becomes subject to compulsory execution as an obligor, arising in connection with any business operation, or the futures trust enterprise is a bankrupt, or has a negotiable instrument dishonored or is blacklisted by a bank.4. Any of the circumstances stated in Article 5 of the Standards Governing the Establishment of Futures Trust Enterprises applies to a responsible person or associated person.5. Any change in the shareholding of a director, supervisor, managerial officer, or a shareholder holding 5% or more of the total number of issued shares.6. Any other matters that the competent authority requires to be reported in a regulatory filing.The provisions of subparagraphs 2, 5, and 6 of the preceding paragraph do not apply to an enterprise in another line of business concurrently operating a futures trust enterprise.For a matter under paragraph 1, subparagraph 1, the futures trust enterprise shall submit a report in advance. For a matter under subparagraphs 2 to 4, the enterprise shall submit a report within 5 business days starting from the date on which it first becomes aware of the fact or on which the fact occurs. For a matter under subparagraph 5, the director, supervisor, managerial officer, or the shareholder holding 5% or more of the total number of issued shares, as the case may be, shall submit a report to the enterprise by the 5th day of the following month, and the enterprise shall submit a consolidated report by the 15th day of the same month.The term "business day" as used in these Regulations means a trading day on the domestic futures market.
中文原文 期貨信託事業管理規則第9條
期貨信託事業有下列情事之一者，除依相關法令辦理外，並應函送同業公會彙報主管機關：
一、開業。
二、變更董事、監察人或經理人。
三、期貨信託事業或其負責人、業務員、其他從業人員，因業務上關係發生訴訟、仲裁或為強制執行之債務人，或期貨信託事業為破產人、有銀行退票或拒絕往來之情事。
四、負責人或業務員有期貨信託事業設置標準第五條所定之情事。
五、董事、監察人、經理人或持有已發行股份總數百分之五以上之股東持股之變動。
六、其他經主管機關規定應申報之事項。
前項第二款、第五款及第六款規定於他業兼營期貨信託事業者不適用。
第一項第一款事項，公司應事先申報；第二款至第四款事項，公司應於知悉或事實發生之日起五個營業日內申報；第五款事項，董事、監察人、經理人或持有已發行股份總數百分之五以上之股東應於次月五日前向公司申報，公司應於同月十五日前彙總申報。
本規則所稱營業日係指國內期貨市場交易日。
一、開業。
二、變更董事、監察人或經理人。
三、期貨信託事業或其負責人、業務員、其他從業人員，因業務上關係發生訴訟、仲裁或為強制執行之債務人，或期貨信託事業為破產人、有銀行退票或拒絕往來之情事。
四、負責人或業務員有期貨信託事業設置標準第五條所定之情事。
五、董事、監察人、經理人或持有已發行股份總數百分之五以上之股東持股之變動。
六、其他經主管機關規定應申報之事項。
前項第二款、第五款及第六款規定於他業兼營期貨信託事業者不適用。
第一項第一款事項，公司應事先申報；第二款至第四款事項，公司應於知悉或事實發生之日起五個營業日內申報；第五款事項，董事、監察人、經理人或持有已發行股份總數百分之五以上之股東應於次月五日前向公司申報，公司應於同月十五日前彙總申報。
本規則所稱營業日係指國內期貨市場交易日。