Regulations Governing Managed Futures Enterprises Article 12
If any of the following circumstances exists at a managed futures enterprise, it shall report to the Competent Authority:1. Commencement, suspension, resumption, or termination of operations.2. Change of the responsible person.3. Where, due to circumstances arising out of operations at the managed futures enterprise, the responsible person or any of the associated persons or other personnel is involved in litigation or arbitration, or is subject to compulsory execution as an obligor, or the managed futures enterprise is a bankrupt, or has a negotiable instrument dishonored or is blacklisted by a bank.4. Where any circumstance in Article 5 of the Standards for the Establishment of Managed Futures Enterprises applies to the responsible person or an associated person.5. Where an act of the responsible person, an associated person, or other personnel violates the Act or any order of the Competent Authority issued pursuant to the Act.6. When there is a change in the shareholding of the responsible person or any shareholder holding five percent or more of the enterprise's shares.7. Other matters required to be reported pursuant to regulations of the Competent Authority.For events under subparagraph 1 of the preceding paragraph, the enterprise shall make a report prior to the fact; for events under subparagraphs 2-5, the enterprise shall make a report within five business days from the day on which the event occurred or the enterprise learned of its occurrence; for events circumstances under subparagraph 6, the responsible person or any shareholder holding five percent or more of the enterprise's shares shall report to the enterprise prior to the fifth day of the following month, and the enterprise shall compile the information in a report prior to the 15th of the same month.Reports of circumstances under paragraph 1 shall be forwarded to the Competent Authority through the CNFA.The term "business day" in these Regulations means days on which trading takes place in the domestic futures market.
中文原文 期貨經理事業管理規則第12條
期貨經理事業有下列情事之一者，應向主管機關申報：
一、開業、停業、復業或終止營業。
二、變更負責人。
三、期貨經理事業或其負責人、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，或期貨經理事業為破產人、有銀行退票或拒絕往來之情事。
四、負責人或業務員有期貨經理事業設置標準第五條所定之情事。
五、負責人、業務員或其他從業人員，有違反本法或主管機關依本法所發布命令之行為。
六、負責人及持有公司股份百分之五以上之股東，持有股份變動。
七、其他經主管機關規定應申報之事項。
前項第一款事項，公司應事先申報；第二款至第五款事項，公司應於知悉或事實發生之日起五個營業日內申報；第六款事項，負責人及持有公司股份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。
第一項所列應申報之事項，應送由同業公會轉送主管機關。
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、變更負責人。
三、期貨經理事業或其負責人、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，或期貨經理事業為破產人、有銀行退票或拒絕往來之情事。
四、負責人或業務員有期貨經理事業設置標準第五條所定之情事。
五、負責人、業務員或其他從業人員，有違反本法或主管機關依本法所發布命令之行為。
六、負責人及持有公司股份百分之五以上之股東，持有股份變動。
七、其他經主管機關規定應申報之事項。
前項第一款事項，公司應事先申報；第二款至第五款事項，公司應於知悉或事實發生之日起五個營業日內申報；第六款事項，負責人及持有公司股份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。
第一項所列應申報之事項，應送由同業公會轉送主管機關。
本規則所稱營業日係指國內期貨市場交易日。