Regulations Governing Futures Advisory Enterprises Article 11
Before a futures advisory enterprise accepts a commission from a principal to provide futures trading consultation services, it shall inform the principal of the natures of the various futures products, trading terms and conditions, and possible risks.The futures advisory enterprise shall sign a written mandate contract with the principal, which shall include the following main content:1. The names and addresses of the parties to the contract.2. The conditions and time limit under which the contract may be rescinded after signing.3. Stipulations regarding the scope of research, opinions, and recommendations to be provided, and any amendment of the same.4. The manner in which services will be provided (including reporting obligations).5. The futures advisory enterprise's duty of care of a good custodian and its confidentiality obligations.6. The means of calculating expenses and compensation for the commissioned services, and the manner and time of payment.7. The date on which the contract takes effect and the valid duration of the contract.8. Provisions for amendment and termination of the contract.9. The obligation to give notice of any material change and the means of notice.10. The rate of refund on compensation already paid and to which the principal is entitled after termination of contract, and the means of payment. The contract shall also state which fees cannot be returned and their amounts or method of calculation.11. Provisions for bankruptcy, dissolution, dispositions requiring suspension of business, or voidance or revocation of the business permission.12. Provisions for dispute resolution, and the relevant jurisdictional court.13. Other necessary provisions in regard to the rights and obligations of the parties to the contract.A contract template for the mandate contract referred to in the preceding paragraph shall be drafted by the Futures Association and submitted to the competent authority for recordation; the same shall be true for any amendments to the contract template.The mandate contract entered into by the futures advisory enterprise pursuant to paragraph 2 of this article shall be retained for a period of five years from the date on which the mandate relationship is extinguished, provided that where there is any dispute, the contract shall be retained until the conclusion of the dispute.
中文原文 期貨顧問事業管理規則第11條
期貨顧問事業接受委任人委任提供期貨顧問服務前，應告知各種期貨商品之性質、交易條件及可能之風險。
期貨顧問事業應與委任人簽訂書面委任契約，其主要內容應包括下列事項：
一、契約當事人之名稱及地址。
二、簽約後可要求解約之事由及期限。
三、研究分析意見或建議範圍之約定與變更。
四、提供服務之方式（含報告義務）。
五、期貨顧問事業之善良管理人注意義務及保密義務。
六、委託報酬與費用之計算、交付方式及交付時機。
七、契約生效日期及其存續期間。
八、契約之變更與終止。
九、重要事項變更之通知及其方式。
十、契約終止後，委任人得請求退還報酬時，其退還之比例及方式，並應明定屬無法退還之費用項目及其金額或計算方式。
十一、受破產、解散、停業、撤銷或廢止營業許可處分後之處理方式。
十二、紛爭之解決方式及管轄法院。
十三、其他與當事人權利義務有關之必要記載事項。
前項之委任契約，由同業公會訂定契約範本，申報主管機關備查；其修正時亦同。
期貨顧問事業依第二項訂定之委任契約，應自委任關係消滅之日起，保存五年。
但有爭議者，應保存至該爭議消除為止。
期貨顧問事業應與委任人簽訂書面委任契約，其主要內容應包括下列事項：
一、契約當事人之名稱及地址。
二、簽約後可要求解約之事由及期限。
三、研究分析意見或建議範圍之約定與變更。
四、提供服務之方式（含報告義務）。
五、期貨顧問事業之善良管理人注意義務及保密義務。
六、委託報酬與費用之計算、交付方式及交付時機。
七、契約生效日期及其存續期間。
八、契約之變更與終止。
九、重要事項變更之通知及其方式。
十、契約終止後，委任人得請求退還報酬時，其退還之比例及方式，並應明定屬無法退還之費用項目及其金額或計算方式。
十一、受破產、解散、停業、撤銷或廢止營業許可處分後之處理方式。
十二、紛爭之解決方式及管轄法院。
十三、其他與當事人權利義務有關之必要記載事項。
前項之委任契約，由同業公會訂定契約範本，申報主管機關備查；其修正時亦同。
期貨顧問事業依第二項訂定之委任契約，應自委任關係消滅之日起，保存五年。
但有爭議者，應保存至該爭議消除為止。