Regulations Governing Futures Trust Funds Article 52
A futures trust enterprise shall utilize a futures trust fund offered to persons meeting certain eligibility requirements in accordance with the futures trust deed. Except where otherwise provided by the competent authority, the scope of such utilization shall comply with the provisions of Articles 38, 40, and 42, and the futures trust enterprise shall observe the following conditions:1.Fund assets may not be loaned.2.The futures trust enterprise may not engage in trading of futures and securities with the various other futures trust funds, securities investment trust funds, mutual trust funds, discretionary investment accounts, or accounts for the trading securities with self-owned funds under the common management of the futures trust enterprise. This restriction does not apply, however, when such trading results from trades made through centralized exchange markets or through a securities firm's place of business, and was not produced deliberately.3.The futures trust enterprise may not invest in securities issued by the futures trust enterprise itself or an interested company, with the exception of fund beneficial certificates, fund shares, and investment units.4.When the futures trust fund is utilized to invest in any other futures trust fund or securities investment trust fund managed by the same futures trust enterprise, a management fee may not be charged.5.The futures trust enterprise may not use a futures trust fund to purchase the beneficial certificates of that same fund. This restriction shall not apply in the case of requests by beneficial owners for redemption of beneficial certificates, or when beneficial certificates are redeemed due to the discontinuance of all or some part of the fund.6.The total amount a futures trust fund-of-funds invests in the beneficial certificates of a securities investment trust fund may not exceed ten percent of the net asset value of the futures trust fund.7.Proxy forms for shareholders' meetings of an issuing company whose shares are purchased by a futures trust fund may not be sold or transferred.8.The total holdings of items under Article 50, paragraph 1, subparagraphs 2 through 4 may not exceed a certain prescribed percentage.9.The futures trust enterprise may not accept the direction of specified persons to assist others in performing a merger or acquisition, evading income tax, or other actions influencing compliance with the law, observance of good faith, or professional investment management by the futures trust enterprise.10.The futures trust enterprise may not take other actions prohibited by the competent authority.A futures trust enterprise that offers a futures trust fund to persons meeting certain eligibility requirements shall make explicit in the futures trust contract the upper limits on off-exchange futures trades, securities margin trades, and borrowing of securities or money, and shall explain in the public prospectus the related measures for risk monitoring and control.
中文原文 期貨信託基金管理辦法第52條
期貨信託事業應依期貨信託契約運用對符合一定資格條件之人募集期貨信託基金，除主管機關另有規定外，其範圍應符合第三十八條、第四十條及第四十二條規定，並應遵守下列規定：
一、不得為放款。
二、不得與本期貨信託事業經理之其他各期貨信託基金、證券投資信託基金、共同信託基金、全權委託帳戶或自有資金買賣有價證券帳戶間為期貨與證券交易行為。
但經由集中交易市場或證券商營業處所委託買賣成交，且非故意發生相對交易之結果者，不在此限。
三、不得投資於本期貨信託事業或與本期貨信託事業有利害關係之公司所發行基金受益憑證、基金股份及投資單位以外之證券。
四、運用期貨信託基金投資於本期貨信託事業經理之其他各期貨信託基金或證券投資信託基金，不得收取經理費。
五、不得運用期貨信託基金買入本期貨信託基金之受益憑證。
但經受益人請求買回或因期貨信託基金全部或部分不再存續而收回受益憑證者，不在此限。
六、組合型期貨信託基金投資於證券投資信託基金受益憑證之總金額，不得超過本期貨信託基金淨資產價值之百分之十。
七、不得交付或出售期貨信託基金所購入股票發行公司股東會之委託書。
八、持有第五十條第一項第二款至第四款之總額不得超過規定之一定比率。
九、不得有接受特定人指定，協助他人併購、規避所得稅或其他影響期貨信託事業應本於守法、誠實信用及專業投資管理原則之操作。
十、不得為經主管機關規定之其他禁止事項。
期貨信託事業對符合一定資格條件之人募集期貨信託基金，應於期貨信託契約中明定從事非在期貨交易所進行之期貨交易、證券信用交易、借券交易及借款之上限，並應於公開說明書敘明相關風險監控管理措施。
一、不得為放款。
二、不得與本期貨信託事業經理之其他各期貨信託基金、證券投資信託基金、共同信託基金、全權委託帳戶或自有資金買賣有價證券帳戶間為期貨與證券交易行為。
但經由集中交易市場或證券商營業處所委託買賣成交，且非故意發生相對交易之結果者，不在此限。
三、不得投資於本期貨信託事業或與本期貨信託事業有利害關係之公司所發行基金受益憑證、基金股份及投資單位以外之證券。
四、運用期貨信託基金投資於本期貨信託事業經理之其他各期貨信託基金或證券投資信託基金，不得收取經理費。
五、不得運用期貨信託基金買入本期貨信託基金之受益憑證。
但經受益人請求買回或因期貨信託基金全部或部分不再存續而收回受益憑證者，不在此限。
六、組合型期貨信託基金投資於證券投資信託基金受益憑證之總金額，不得超過本期貨信託基金淨資產價值之百分之十。
七、不得交付或出售期貨信託基金所購入股票發行公司股東會之委託書。
八、持有第五十條第一項第二款至第四款之總額不得超過規定之一定比率。
九、不得有接受特定人指定，協助他人併購、規避所得稅或其他影響期貨信託事業應本於守法、誠實信用及專業投資管理原則之操作。
十、不得為經主管機關規定之其他禁止事項。
期貨信託事業對符合一定資格條件之人募集期貨信託基金，應於期貨信託契約中明定從事非在期貨交易所進行之期貨交易、證券信用交易、借券交易及借款之上限，並應於公開說明書敘明相關風險監控管理措施。