Regulations Governing Managed Futures Enterprises Article 22
Prior to accepting a discretionary futures trading order from a principal, a managed futures enterprise shall provide a trading risk disclosure statement and a mandate contract for discretionary futures trading, and appoint a registered, qualified associated person to apprise the principal of the nature of trades or investments, the possible risks, and the content of the mandate contract; in addition, it shall provide the principal with written materials on the following matters, along with a detailed explanation thereof:1.The characteristics, possible risks, and statutory and regulatory restrictions, of the subjects of trades or investments.2. The balance sheets and statements of comprehensive income of the managed futures enterprise for the previous two fiscal years.3. The total number of accounts and the total amount of assets accepted for discretionary futures trading by the managed futures enterprise for the five fiscal years prior to the given quarter; the numbers of closed accounts which showed positive returns and the number which showed negative returns for the same period; and the numbers of open accounts showing positive returns and the number showing negative returns for the same period, provided that managed futures enterprises not yet in operation for a full year may be exempted from the requirement to provide such written materials and explanations to the principal.4. For each person making trading decisions in discretionary trading for the managed futures enterprise: educational and professional background; any sanctions imposed by the Competent Authority in the most recent two years pursuant to Article 101 of the Act, Article 104 of the Securities Investment Trust and Consulting Act, or Article 56 of the Securities and Exchange Act; for the five years prior to that quarter, the number of accounts and total amount of managed assets for which trade or investment decisions were made; the number of closed accounts which showed positive returns and the number which showed negative returns; and the number of open accounts showing positive returns and the number showing negative returns, provided that a managed futures enterprise not yet in operation for a full year may be exempted from the requirement to provide such written materials and explanations to the principal.5. If any person making trading decisions for discretionary trading at the managed futures enterprise simultaneously manages another futures trust fund or securities investment trust fund, the name of any fund that person manages, and any measures adopted to prevent conflicts of interest, shall be disclosed.6. The circumstances regarding any litigious or non-litigious matters that have occurred, or are on-going, and that arose from the managed futures enterprise's operation of discretionary securities investment or discretionary futures trading business in the most recent two years.7. The circumstances of any sanction imposed on the managed futures enterprise or any of its responsible persons by the Competent Authority pursuant to Articles 100 or 101 of the Act, Articles 103 or 104 of the Securities Investment Trust and Consulting Act, or Articles 56 or 66 of the Securities and Exchange Act.8. Cautionary statements regarding the risks of discretionary trading.9. Other matters as required by the Competent Authority.Prior to the signing of a mandate contract for discretionary futures trading between the principal and the managed futures enterprise, the principal shall be given a seven-day period in which to review all contract clauses, and a data sheet on the principal shall be compiled based on a thorough understanding of the principal's financial resources, investing experience, and investment goals, which shall be retained for reference along with other related documentation.The principal shall place his or her signature or seal along with a date notation on the risk disclosure statement and the written materials referred to in paragraph 1, which shall be an attachment to the mandate contract for discretionary futures trading and be delivered to the principal to be retained along with the contract.
中文原文 期貨經理事業管理規則第22條
期貨經理事業接受委任人全權委託期貨交易前，應提供期貨交易風險預告書、期貨交易全權委任契約，指派登記合格之業務員向委任人告知交易或投資之性質、可能之風險及委任契約之內容；另應提供下列事項之書面資料，向委任人詳細說明：
一、交易或投資標的之特性、可能之風險及法令限制。
二、期貨經理事業最近二年度資產負債表及綜合損益表。
三、期貨經理事業當季前五年內接受全權委託交易之戶數及委託資產總額、已了結帳戶正報酬與負報酬之戶數及未了結帳戶正報酬與負報酬之戶數。
但期貨經理事業營業未滿一年者，得免向委任人說明該事項及提供書面資料。
四、期貨經理事業每一從事全權委託交易決定人員之學歷與經歷、最近二年經主管機關依本法第一百零一條、證券投資信託及顧問法第一百零四條、或證券交易法第五十六條規定處分情形，及當季前五年內從事交易或投資決定之戶數、委託資產總額、已了結帳戶正報酬與負報酬之戶數及未了結帳戶正報酬與負報酬之戶數。
但期貨經理事業營業未滿一年者，得免向委任人說明該事項及提供書面資料。
五、期貨經理事業每一從事全權委託交易決定人員同時管理其他期貨信託基金或證券投資信託基金者，應揭露所管理之基金名稱及所採取防止利益衝突之措施。
六、最近二年期貨經理事業因經營全權委託證券投資或期貨交易業務而發生或進行中之訴訟、非訟事件之情形。
七、期貨經理事業或其負責人經主管機關依本法第一百條或第一百零一條、證券投資信託及顧問法第一百零三條或第一百零四條、或證券交易法第五十六條或第六十六條規定處分之情形。
八、全權委託交易風險警語。
九、其他主管機關規定之事項。
期貨經理事業與委任人簽訂期貨交易全權委任契約前，應有七日以上之期間，供委任人審閱全部條款內容，並先對委任人之資力、投資經驗及目的需求充分瞭解，製作委任人資料表，連同相關證明文件留存備查。
第一項期貨交易風險預告書及書面資料應交由委任人簽名或蓋章及加註日期，作為期貨交易全權委任契約之附件，並應連同期貨交易全權委任契約交付委任人存執。
一、交易或投資標的之特性、可能之風險及法令限制。
二、期貨經理事業最近二年度資產負債表及綜合損益表。
三、期貨經理事業當季前五年內接受全權委託交易之戶數及委託資產總額、已了結帳戶正報酬與負報酬之戶數及未了結帳戶正報酬與負報酬之戶數。
但期貨經理事業營業未滿一年者，得免向委任人說明該事項及提供書面資料。
四、期貨經理事業每一從事全權委託交易決定人員之學歷與經歷、最近二年經主管機關依本法第一百零一條、證券投資信託及顧問法第一百零四條、或證券交易法第五十六條規定處分情形，及當季前五年內從事交易或投資決定之戶數、委託資產總額、已了結帳戶正報酬與負報酬之戶數及未了結帳戶正報酬與負報酬之戶數。
但期貨經理事業營業未滿一年者，得免向委任人說明該事項及提供書面資料。
五、期貨經理事業每一從事全權委託交易決定人員同時管理其他期貨信託基金或證券投資信託基金者，應揭露所管理之基金名稱及所採取防止利益衝突之措施。
六、最近二年期貨經理事業因經營全權委託證券投資或期貨交易業務而發生或進行中之訴訟、非訟事件之情形。
七、期貨經理事業或其負責人經主管機關依本法第一百條或第一百零一條、證券投資信託及顧問法第一百零三條或第一百零四條、或證券交易法第五十六條或第六十六條規定處分之情形。
八、全權委託交易風險警語。
九、其他主管機關規定之事項。
期貨經理事業與委任人簽訂期貨交易全權委任契約前，應有七日以上之期間，供委任人審閱全部條款內容，並先對委任人之資力、投資經驗及目的需求充分瞭解，製作委任人資料表，連同相關證明文件留存備查。
第一項期貨交易風險預告書及書面資料應交由委任人簽名或蓋章及加註日期，作為期貨交易全權委任契約之附件，並應連同期貨交易全權委任契約交付委任人存執。