Regulations Governing Futures Commission Merchants Article 4
In any of the following events, a futures commission merchant shall report to the FSC:1. where business operations are commenced, suspended, resumed or terminated;2. where the institution for clearance and settlement of futures trades is changed;3. where a customer margin account is opened, changed, or closed;4. where a futures commission merchant, or any of its directors, supervisors, managerial officers, associated persons, or any other employee becomes involved in litigation or arbitration stemming from the performance of job duties, or is subject to compulsory execution as an obligor, or where a futures commission merchant is a bankrupt, or is refused services or has a negotiable instrument dishonored by a bank;5. where any of the conditions referred to in Article 28 of the Act applies to any director, supervisor, managerial officer, or associated person;6. where, as shown by facts, any director, supervisor, managerial officer, or associated person has engaged or been involved in any other dishonest or improper activities which demonstrate that such person is not suitable to engage in futures trading;7. where any director, supervisor, managerial officer, associated person, or other employee has violated the Act or any order issued by the FSC in accordance with the Act;8. where there is any change in the shareholding of any director, supervisor, or managerial officer, or of any shareholder holding more than 10 percent of the shares of the company;9. where there is any change of the financial ratio or other material events affecting financial structure which, according to the futures trading acts and regulations of a foreign country, must be reported to the competent authority for futures in such country, or to other authorities there;10. where the futures commission merchant's futures trading volume, whether on its proprietary account or on customers' accounts, has reached the reporting threshold under futures trading acts and regulations of the ROC or a foreign country; or11. where there is any other matter that must be reported under FSC regulations.For the matters under subparagraphs 1 and 2 in the preceding paragraph, the company shall report in advance; for the matters under subparagraphs 3 through 7, the company shall report within 5 business days from either the date on which it becomes aware of such a matter, or the day on which such a matter occurs; for matters under item 8, any director, supervisor, or managerial officer, or any shareholder holding more than 10 percent of the shares of the company, shall report to the company by the 5th day of the following month, and the company shall collect such reports and forward them in a single batch [to the FSC] by the 15th day of the same month; for matters under subparagraphs 9 and 10, the company shall report to the FSC at the time when it reports the same to the ROC or foreign futures exchange or to other authorities.Matters that must be reported pursuant to paragraph 1 above shall be submitted to the FSC via the TAIFEX.The term "business day" as used in these Regulations means a trading day on the domestic futures markets.
中文原文 期貨商管理規則第4條
期貨商有下列情事之一者，應向本會申報：
一、開業、停業、復業或終止營業。
二、變更期貨交易結算交割之期貨商。
三、客戶保證金專戶之開設、變更或終止。
四、期貨商或其董事、監察人、經理人、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，或期貨商為破產人、有銀行退票或拒絕往來之情事。
五、董事、監察人、經理人或業務員有本法第二十八條所定之情事。
六、董事、監察人、經理人或業務員，有事實證明曾經從事或涉及其他不誠信或不正當活動，顯示其不適合從事期貨業。
七、董事、監察人、經理人、業務員或其他從業人員，有違反本法或本會依照本法所發布命令之行為。
八、董事、監察人、經理人及持有公司股份超過百分之十之股東，持有股份變動。
九、依外國期貨交易法令之規定，應向當地期貨主管機關或其他權責機構申報之財務比率變動或其他影響財務結構之重大情事。
十、為自己或客戶從事之期貨交易量，達本國或外國期貨交易法令應申報之數額者。
十一、其他經本會規定應申報事項。
前項第一款、第二款事項，公司應事先申報；第三款至第七款事項，公司應於知悉或事實發生之日起五個營業日內申報；第八款事項，董事、監察人、經理人及持有公司股份超過百分之十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；第九款至第十款事項，公司應於向本國或外國期貨交易所或其他權責機構申報時，同時向本會申報。
第一項所列應申報之事項，應送由期貨交易所轉送本會。
本規則所稱營業日係指國內期貨市場交易日。
一、開業、停業、復業或終止營業。
二、變更期貨交易結算交割之期貨商。
三、客戶保證金專戶之開設、變更或終止。
四、期貨商或其董事、監察人、經理人、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，或期貨商為破產人、有銀行退票或拒絕往來之情事。
五、董事、監察人、經理人或業務員有本法第二十八條所定之情事。
六、董事、監察人、經理人或業務員，有事實證明曾經從事或涉及其他不誠信或不正當活動，顯示其不適合從事期貨業。
七、董事、監察人、經理人、業務員或其他從業人員，有違反本法或本會依照本法所發布命令之行為。
八、董事、監察人、經理人及持有公司股份超過百分之十之股東，持有股份變動。
九、依外國期貨交易法令之規定，應向當地期貨主管機關或其他權責機構申報之財務比率變動或其他影響財務結構之重大情事。
十、為自己或客戶從事之期貨交易量，達本國或外國期貨交易法令應申報之數額者。
十一、其他經本會規定應申報事項。
前項第一款、第二款事項，公司應事先申報；第三款至第七款事項，公司應於知悉或事實發生之日起五個營業日內申報；第八款事項，董事、監察人、經理人及持有公司股份超過百分之十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；第九款至第十款事項，公司應於向本國或外國期貨交易所或其他權責機構申報時，同時向本會申報。
第一項所列應申報之事項，應送由期貨交易所轉送本會。
本規則所稱營業日係指國內期貨市場交易日。