Regulations Governing Futures Clearing Houses Article 9
In case of any one of the following events, besides taking appropriate action immediately according to the circumstances of the matter, a futures clearing house shall also report to the FSC for recordation:1. a temporary suspension of all or part of the clearance or settlement of the current trading, resulting from the incident caused by force majeure;2. the breakdown or disruption of the clearing or settlement system or trading information transmission system;3. where a clearing member delays depositing margin or the premium or defaults on the obligation to deposit the margin or pay the premium;4. where a clearing member delays performing settlement when due or fails to perform the settlement;5. where a Responsible Person or Associated Person of a futures clearing house becomes involved in litigation, receives a judgment in litigation, or becomes subject to compulsory execution as an obligor, as a result of or in connection with his performance of job duties, or has any other incident which would cause him to be discharged from the position under the Act.6. Where any of its directors, supervisors, managerial officers, or associated persons falls within the categories specified in Article 28 of the Act;7. punishment imposed on the clearing members;8. matters which shall be reported to Competent Authority pursuant to Article 55 and Article 41 of the Act;9. the surveillance and handling situation of futures trading;10. any civil litigation, non-litigious matters, administrative measure, administrative litigation, arbitration, or settlement, that has substantial impact on its finance or business;11. admission or withdrawal of clearing members;12. the depository institution's name and the account number of the designated account for the clearing bond;13. minutes of the Board of Directors' meetings;14. the reviewing reports on the financial report of the clearing members;15. auditing of the financial and business matters of the clearing members;16. other matters which shall be reported to the FSC for recordation under the Act or rules of the FSC.The above events specified in Items 1 to 4 of preceding Paragraph shall be reported to the FSC no latter than one day after the event occurred ; events specified in Item 5 to 10 shall be reported to the FSC within 5 days after it learns of the occurrence of such event or after the procedure for handling it is completed; the events specified in Items 10 to 15 shall be reported to the FSC monthly regarding the enforcement result.
中文原文 期貨結算機構管理規則第9條
期貨結算機構有下列情事之一者，除依情形應即為適當處置者外，並應向本會申報備查：
一、期貨結算機構因不可抗拒之偶發事故臨時停止當市之全部或部分結算、交割之情事。
二、結算、交割系統或交易資訊傳輸系統發生故障或中斷之情事。
三、結算會員有逾時繳交或無法繳交保證金、權利金之情事。
四、結算會員有逾時交割或交割不能之情事。
五、期貨結算機構之負責人或業務人員，因執行職務涉訟、受訴訟上之判決、為強制執行之債務人或依本法應受解除職務處分之情事。
六、董事、監察人及經理人或業務人員有本法第二十八條所定之情事。
七、對結算會員所為之處分。
八、依本法第五十五條準用第四十一條規定應行申報事項。
九、期貨交易之監視及處理情形。
十、因訴訟、非訟、行政處分、行政爭訟、仲裁或和解事件，對其財務或業務有重大影響者。
十一、結算會員入會或退會。
十二、結算保證金專戶存放機構名稱及帳號。
十三、董事會議事錄。
十四、結算會員財務報告之審閱結果。
十五、結算會員之財務、業務查核情形。
十六、其他依本法或經本會規定應行申報備查之事項。
前項第一款至第四款之事項，應於事實發生之次日前向本會申報；第五款至第十款之事項，應於知悉事實發生或處理完成後五日內，向本會申報；第十一款至第十五款之事項，應將執行結果按月彙報本會。
一、期貨結算機構因不可抗拒之偶發事故臨時停止當市之全部或部分結算、交割之情事。
二、結算、交割系統或交易資訊傳輸系統發生故障或中斷之情事。
三、結算會員有逾時繳交或無法繳交保證金、權利金之情事。
四、結算會員有逾時交割或交割不能之情事。
五、期貨結算機構之負責人或業務人員，因執行職務涉訟、受訴訟上之判決、為強制執行之債務人或依本法應受解除職務處分之情事。
六、董事、監察人及經理人或業務人員有本法第二十八條所定之情事。
七、對結算會員所為之處分。
八、依本法第五十五條準用第四十一條規定應行申報事項。
九、期貨交易之監視及處理情形。
十、因訴訟、非訟、行政處分、行政爭訟、仲裁或和解事件，對其財務或業務有重大影響者。
十一、結算會員入會或退會。
十二、結算保證金專戶存放機構名稱及帳號。
十三、董事會議事錄。
十四、結算會員財務報告之審閱結果。
十五、結算會員之財務、業務查核情形。
十六、其他依本法或經本會規定應行申報備查之事項。
前項第一款至第四款之事項，應於事實發生之次日前向本會申報；第五款至第十款之事項，應於知悉事實發生或處理完成後五日內，向本會申報；第十一款至第十五款之事項，應將執行結果按月彙報本會。