Regulations Governing Managed Futures Enterprises Article 62
A managed futures enterprise and its responsible persons and associated persons shall faithfully carry out their duties in an honest and trustworthy manner.The enterprise and personnel referred to in the preceding paragraph may not engage in the following:1. Divulging information on matters entrusted by the principal, or secrets gained through performance of professional duties.2. Making guarantees of profitability to a principal.3. Entering into an agreement to share profit or loss with the principal, provided that this restriction shall not apply where the Competent Authority has otherwise provided for collection of incentive fees by managed futures enterprises.4. Using a principal's name or account to undertake trading or investment on behalf of oneself or others.5. Providing one's own or other's name or account for use in trading or investment by a principal.6. Engaging in exaggerated or biased promotion or disseminating false information.7. Entering into mandate contracts by means of fraud, coercion, or other improper means.8. Any acts in contravention of laws and regulations in advertising or promotion.9. Representing a principal in executing trades or investments without having first entered into a discretionary futures trading mandate contract with the principal, or before the principal has entered into the related mandate contract with the custodian institution.10. Representing the principal in signing a discretionary futures trading mandate contract or the related mandate contract with the custodian institution.11. Directly or indirectly establishing a fixed place of business outside the enterprise's place of business at which to enter into discretionary futures trading mandate contracts with principals, provided that where the Competent Authority provides otherwise, this restriction shall not apply.12. Carrying out the duties of one's position under another's name or having another carry out one's duties under one's own name.13. Using information gained in the course of operations to carry out trades on one's own behalf or on behalf of someone other than the principal.14. Utilizing discretionary assets to undertake trades or investments disadvantageous to the principal's rights and interests.15. Utilizing discretionary assets to perform cross trades or investments with one's own assets or with other assets entrusted for brokerage trading, provided that for a confirmed trade taking place on the centralized securities exchange market where the resultant cross trade was unintentional, this restriction shall not apply.16. Sub-mandating the mandate contract for discretionary futures trading in whole or in part for performance by others, or assignment of the contract to others in whole or in part.17. When making trades or investments using discretionary trading assets, taking an already-completed brokerage trade made on a discretionary trading account and changing it to a trade on one's own or others' discretionary trading accounts, or changing a trade made on any other account to a trade on a discretionary trading account.18. Failing to produce a written trading decision based on the analysis report; or the analysis report obviously lacks a reasonable analytical foundation or basis.19. Misappropriating assets entrusted by the principal or keeping custody on behalf of the principal of assets entrusted by the principal or of any chop or account passbook of the principal.20. Handling or responding unnecessarily to queries regarding matters entrusted by a principal in a manner injurious to the principal's rights and interests.21. Where account books, statistical tables, or documents are required by law or regulation, handling the production, reporting, announcement, display, or safekeeping of such items in a manner contravening any law or regulation, or making false entries therein.22. Failing to provide account books, statistical tables, documents, or other reference reporting materials within the specified time per order of the Competent Authority, or refusing or impeding an investigation of the Competent Authority undertaken pursuant to applicable law.23. Borrowing funds from a principal or acting as an intermediary in such borrowing.24. Producing falsified trading records.25. Using a non-employee of the company to conduct related business.26. Conducting an unnecessary trade for the principal.27. Violating the standards for self-regulation established by the CNFA.28. Violating other securities and futures management laws and regulations or engaging in other acts prohibited by the Competent Authority.In conducting business, personnel referred to in paragraph 1 may not engage in any conduct prohibited by laws or regulations regarding the administration of managed futures enterprises or prohibited by the provisions of the mandate contract for discretionary futures trading.Personnel other than associated persons are likewise prohibited from the conduct referred to in the preceding paragraph, and furthermore may neither undertake the duties of an associated person of a managed futures enterprise nor act as deputy for duties of an associated person.
中文原文 期貨經理事業管理規則第62條
期貨經理事業及其負責人與業務員應本誠實及信用原則，忠實執行業務。
前項事業及人員，不得有下列行為：
一、洩漏委任人委託事項及職務上所獲悉之秘密。
二、對委任人作獲利之保證。
三、與委任人約定分享利益或共同承擔損失。
但主管機關對期貨經理事業收取績效報酬另有規定者，不在此限。
四、利用委任人帳戶或名義為他人或自己從事交易或投資。
五、利用他人或自己之帳戶或名義供委任人從事交易或投資。
六、為誇大、偏頗之宣傳或散布不實資訊。
七、以詐欺、脅迫或其他不正當方式簽訂委任契約。
八、為廣告或宣傳有違反法令規定之情事。
九、未與委任人辦妥期貨交易全權委任契約之簽訂，或委任人未與保管機構辦妥委任契約之簽訂，即代理委任人從事交易或投資。
十、代理委任人簽訂期貨交易全權委任契約或代理委任人與保管機構簽訂委任契約。
十一、於公司之營業場所外，直接或間接設置固定場所從事與委任人簽訂期貨交易全權委任契約。
但主管機關另有規定者，不在此限。
十二、利用他人名義或由他人利用自己名義執行業務。
十三、利用職務上所獲知之資訊，為自己或委任人以外之人從事交易。
十四、運用全權委託資產從事足以損害委任人權益之交易或投資。
十五、運用全權委託資產，與自己或其他受託資產，為相對委託之交易或投資。
但經由集中交易市場委託買賣成交，且非故意發生相對委託之結果者，不在此限。
十六、將期貨交易全權委任契約之全部或部分複委任他人履行或轉讓他人。
十七、運用全權委託資產從事交易或投資時，非依法令規定或市場規則，將已成交之委託，自全權委託帳戶改為自己、他人或其他全權委託帳戶，或自其他帳戶改為全權委託帳戶。
十八、未依分析報告作成決定書，或分析報告顯然缺乏合理分析基礎與根據者。
十九、挪用委任人委託資產或代其保管委託資產、印鑑或存摺。
二十、對委任人所為委任事項之查詢，未為必要之答復及處理，致有損委任人之權益。
二十一、對於依法令規定之帳簿、表冊、文件，未依規定製作、申報、公告、備置、保存或為虛偽之記載。
二十二、對主管機關命令提出之帳簿、表冊、文件或其他參考報告資料，逾期不提出，或對於主管機關依法所為之檢查予以拒絕或妨礙。
二十三、與委任人有借貸款項或為借貸款項之媒介情事。
二十四、製作不實之交易紀錄。
二十五、利用非公司受雇人從事有關業務。
二十六、為委任人進行非必要之交易。
二十七、違反同業公會訂定之自律規範。
二十八、其他違反證券暨期貨管理法令或經主管機關規定不得為之行為。
第一項之人員執行業務，對期貨經理事業管理法令或期貨交易全權委任契約規定不得為之行為，亦不得為之。
非業務員之其他從業人員除不得有前項情事外，亦不得執行業務員職務或代理業務員職務。
前項事業及人員，不得有下列行為：
一、洩漏委任人委託事項及職務上所獲悉之秘密。
二、對委任人作獲利之保證。
三、與委任人約定分享利益或共同承擔損失。
但主管機關對期貨經理事業收取績效報酬另有規定者，不在此限。
四、利用委任人帳戶或名義為他人或自己從事交易或投資。
五、利用他人或自己之帳戶或名義供委任人從事交易或投資。
六、為誇大、偏頗之宣傳或散布不實資訊。
七、以詐欺、脅迫或其他不正當方式簽訂委任契約。
八、為廣告或宣傳有違反法令規定之情事。
九、未與委任人辦妥期貨交易全權委任契約之簽訂，或委任人未與保管機構辦妥委任契約之簽訂，即代理委任人從事交易或投資。
十、代理委任人簽訂期貨交易全權委任契約或代理委任人與保管機構簽訂委任契約。
十一、於公司之營業場所外，直接或間接設置固定場所從事與委任人簽訂期貨交易全權委任契約。
但主管機關另有規定者，不在此限。
十二、利用他人名義或由他人利用自己名義執行業務。
十三、利用職務上所獲知之資訊，為自己或委任人以外之人從事交易。
十四、運用全權委託資產從事足以損害委任人權益之交易或投資。
十五、運用全權委託資產，與自己或其他受託資產，為相對委託之交易或投資。
但經由集中交易市場委託買賣成交，且非故意發生相對委託之結果者，不在此限。
十六、將期貨交易全權委任契約之全部或部分複委任他人履行或轉讓他人。
十七、運用全權委託資產從事交易或投資時，非依法令規定或市場規則，將已成交之委託，自全權委託帳戶改為自己、他人或其他全權委託帳戶，或自其他帳戶改為全權委託帳戶。
十八、未依分析報告作成決定書，或分析報告顯然缺乏合理分析基礎與根據者。
十九、挪用委任人委託資產或代其保管委託資產、印鑑或存摺。
二十、對委任人所為委任事項之查詢，未為必要之答復及處理，致有損委任人之權益。
二十一、對於依法令規定之帳簿、表冊、文件，未依規定製作、申報、公告、備置、保存或為虛偽之記載。
二十二、對主管機關命令提出之帳簿、表冊、文件或其他參考報告資料，逾期不提出，或對於主管機關依法所為之檢查予以拒絕或妨礙。
二十三、與委任人有借貸款項或為借貸款項之媒介情事。
二十四、製作不實之交易紀錄。
二十五、利用非公司受雇人從事有關業務。
二十六、為委任人進行非必要之交易。
二十七、違反同業公會訂定之自律規範。
二十八、其他違反證券暨期貨管理法令或經主管機關規定不得為之行為。
第一項之人員執行業務，對期貨經理事業管理法令或期貨交易全權委任契約規定不得為之行為，亦不得為之。
非業務員之其他從業人員除不得有前項情事外，亦不得執行業務員職務或代理業務員職務。