Regulations Governing Leverage Transaction Merchants Article 3
Given the occurrence of any of the following, a leverage transaction merchant shall report to the competent authority:1. The commencement, suspension, resumption, or termination of business operations.2. The opening, change, or closing of a customer margin account.3. The leverage transaction merchant or any of its responsible persons, associated persons, or other employees, as the result of the conduct of business, becomes involved in litigation or arbitration or is subject to compulsory execution as an obligor, or the leverage transaction merchant is a bankrupt or has a negotiable instrument dishonored or is blacklisted by a bank.4. Any of the circumstances referred to in Article 28 of the Act applies to the responsible persons or any associated persons of the leverage transaction merchant.5. There is factual evidence that a responsible person or associated person of the leverage transaction merchant has engaged in or been involved in other dishonest or improper activities, demonstrating their unsuitability for conducting futures trading.6. A responsible person, associated person, or other employee of the leverage transaction merchant has violated the Act or any order issued by the competent authority in accordance with the Act.7. Any other matter for which the competent authority requires reporting.The matters under subparagraph 1 of the preceding paragraph shall be reported in advance by the company; the matters under subparagraphs 2 through 6 shall be reported by the company within 5 business days from either the date on which it becomes aware of the matter or the day on which the matter occurs.Matters that must be reported pursuant to paragraph 1 shall be submitted to the competent authority via the TPEx.The term "business day" as used in these Regulations means a trading day on the domestic futures markets.
中文原文 槓桿交易商管理規則第3條
槓桿交易商有下列情事之一者，應向主管機關申報：
一、開業、停業、復業或終止營業。
二、客戶保證金專戶之開設、變更或終止。
三、槓桿交易商或其負責人、業務員、其他從業人員，因業務上關係發生訴訟、仲裁或為強制執行之債務人，或槓桿交易商為破產人、有銀行退票或拒絕往來之情事。
四、負責人或業務員有本法第二十八條所定之情事。
五、負責人或業務員有事實證明曾經從事或涉及其他不誠信或不正當活動，顯示其不適合從事期貨業。
六、負責人、業務員或其他從業人員，有違反本法或主管機關依本法所發布命令之行為。
七、其他經主管機關規定應申報之事項。
前項第一款事項，公司應事先申報；第二款至第六款事項，公司應於知悉或事實發生之日起五個營業日內申報。
第一項所列應申報之事項，應送由證券櫃檯買賣中心轉送主管機關。
本規則所稱營業日係指國內期貨市場交易日。
一、開業、停業、復業或終止營業。
二、客戶保證金專戶之開設、變更或終止。
三、槓桿交易商或其負責人、業務員、其他從業人員，因業務上關係發生訴訟、仲裁或為強制執行之債務人，或槓桿交易商為破產人、有銀行退票或拒絕往來之情事。
四、負責人或業務員有本法第二十八條所定之情事。
五、負責人或業務員有事實證明曾經從事或涉及其他不誠信或不正當活動，顯示其不適合從事期貨業。
六、負責人、業務員或其他從業人員，有違反本法或主管機關依本法所發布命令之行為。
七、其他經主管機關規定應申報之事項。
前項第一款事項，公司應事先申報；第二款至第六款事項，公司應於知悉或事實發生之日起五個營業日內申報。
第一項所列應申報之事項，應送由證券櫃檯買賣中心轉送主管機關。
本規則所稱營業日係指國內期貨市場交易日。