Regulations Governing Managed Futures Enterprises Article 40

A managed futures enterprise shall compile a regular monthly report of the principal's transactions records and current status, and deliver it to the principal. However, with the principal's written consent, and in compliance with the operating rules specified by the CNFA, it may send such report via e-mail.When the impairment of the net worth of a principal's originally entrusted assets reaches 20 percent or higher, the managed futures enterprise shall compile the documentation of the preceding paragraph and advise the principal on the date of occurrence of the event. Thereafter, the same procedure shall be followed whenever that asset net value is impaired by 10 percent or more compared to the previous report.