Regulations Governing Managed Futures Enterprises Article 46
In addition to complying with other applicable laws and regulations, a managed futures enterprise shall comply with the following provisions in conducting business and engaging in trading:1. There may not be any breach of trust, improper tunneling of interests, or other violation of law or regulation.2. Nothing may be done in the interest of the enterprise, its responsible persons, employees, or any principal that harms the interests of other principals.3. Pursue the greatest benefit for principals, and treat every principal in a fair and reasonable manner.4. Establish mechanisms for segregating duties and functions, maintain the independence and confidentiality of business operations. The status of allocation of discretionary assets may not be transmitted to non-related associated persons, shareholders, or affiliated enterprises.5. Information sharing may not harm the rights or interests of principals.6. It is prohibited to coordinate with other departments or other persons to engage in trades, investments, or other actions with the intent to influence the price of a certain type of futures trade or futures-related spot commodity.7. The premises and facilities of departments dedicated to handling discretionary investment business shall be adequately segregated from other business premises.8. Employees other than those of the respective dedicated departments may not participate in the drafting or review of analysis reports and written decisions drafted by departments dedicated to handling discretionary investment business for principals.9. Compensation or incentives of employees of departments dedicated to handling discretionary investment business may not be directly linked to the performance of other departments.
中文原文 期貨經理事業管理規則第46條
期貨經理事業辦理業務或從事交易行為，除依相關法令規定辦理外，並應遵守下列規定：
一、不得有背信、不當利益輸送或其他違反法令之情事。
二、不得有為本事業、負責人、受僱人或任一委任人之利益，而損及其他委任人權益之情事。
三、為委任人追求最高利益，並以公平合理原則對待每一委任人。
四、建立職能區隔機制，維持業務之獨立性及機密性，不得將全權委託資產之運用情形傳遞予非相關業務員、股東或關係企業。
五、從事資訊交互運用不得損害委任人之權益。
六、不得為意圖影響某種期貨交易或期貨相關現貨商品價格，而配合其他部門或他人從事交易、投資或其他行為。
七、辦理全權委託業務之專責部門，其場地設備應與其他業務場地作適當區隔。
八、辦理全權委託業務之專責部門為委任人擬具之分析報告或決定書，各該部門以外之人員不得參與擬訂或複核。
九、辦理全權委託業務之專責部門之人員報酬或獎勵，不應與其他部門績效直接關聯。
一、不得有背信、不當利益輸送或其他違反法令之情事。
二、不得有為本事業、負責人、受僱人或任一委任人之利益，而損及其他委任人權益之情事。
三、為委任人追求最高利益，並以公平合理原則對待每一委任人。
四、建立職能區隔機制，維持業務之獨立性及機密性，不得將全權委託資產之運用情形傳遞予非相關業務員、股東或關係企業。
五、從事資訊交互運用不得損害委任人之權益。
六、不得為意圖影響某種期貨交易或期貨相關現貨商品價格，而配合其他部門或他人從事交易、投資或其他行為。
七、辦理全權委託業務之專責部門，其場地設備應與其他業務場地作適當區隔。
八、辦理全權委託業務之專責部門為委任人擬具之分析報告或決定書，各該部門以外之人員不得參與擬訂或複核。
九、辦理全權委託業務之專責部門之人員報酬或獎勵，不應與其他部門績效直接關聯。