Regulations Governing the Operation of Futures Introducing Broker Business by Securities Firms Article 19
A futures introducing broker shall enter into a mandate agreement with the mandating futures commission merchant, which shall contain the following particulars:1. Names of the parties to the agreement;2. Either party shall notify the other upon receiving the complaint of any futures traders;3. Provisions on commission and other relevant fees;4. Scope of agency business of the futures introducing broker and the procedures for its execution;5. The scope of information and services to be provided by the parties to the agreement;6. Neither party shall refuse the request of the other party for provision of necessary business and finance information;7. Neither party to the agreement shall improperly use the information obtained from the other party;8. When the futures introducing broker is unable to perform the business, the mandating futures commission merchant shall handle it directly;9. The method to deal with the damage caused by reasons attributable to either party to the agreement;10. The method to deal with the damage caused by reasons not attributable to either party to the agreement;11. If the futures introducing broker is responsible for the damages caused to a futures trader or any third person by its willful act or negligence in performing the businesses under paragraph 1 of Article 3 herein, the mandating futures commission merchant shall be held jointly liable as if the damage is caused by its own willful act or negligence;12. Settlement of trading disputes;13. Change of provisions of agreement;14. Rescission or termination of the agreement;15. Effective date of Agreement;16. Other necessary statements in connection with the parties' rights and obligations; and17. Other matters required to be stated by the FSC.The mandating futures commission merchant shall not enter into an agreement with the futures introducing broker to waive the responsibilities referred to in subparagraph 11 of the preceding paragraph in advance.The change or rescission of the mandate agreement referred to in paragraph 1 above shall be reported to FSC for recordation within two days from and including the date of change or recession.
中文原文 證券商經營期貨交易輔助業務管理規則第19條
期貨交易輔助人應與委任期貨商簽訂委任契約，並載明下列事項：
一、契約雙方當事人之名稱。
二、契約雙方當事人接到期貨交易人之申訴等，應即互為通知。
三、佣金及其他相關費用之約定事項。
四、期貨交易輔助人代理業務之範圍及其執行程序。
五、契約雙方當事人應行提供資訊及服務事項之範圍。
六、任一契約當事人請求他方提供必要之相關業務、財務資料，不得拒絕。
七、任一契約當事人不得就自他方已取得之資料，為不當之利用。
八、期貨交易輔助人無法執行其業務時，應由委任期貨商逕行辦理。
九、因可歸責於他方契約當事人之事由所致損害之處理方式。
十、因不可歸責於契約當事人之事由所致損害之處理方式。
十一、期貨交易輔助人就第三條第一項所定各款業務之履行有故意或過失，其對期貨交易人或第三人所生之損害賠償責任，委任期貨商應與自己之故意或過失，負同一責任。
十二、交易糾紛之處理。
十三、契約條款之變更。
十四、契約之解除或終止。
十五、契約生效日期。
十六、其他與當事人權利義務有關之必要記載事項。
十七、其他經本會規定應行記載之事項。
委任期貨商對於前項第十一款之責任，不得預先與期貨交易輔助人約定免除。
第一項委任契約之變更或解除，應於變更或解除之日起二日內報本會備查。
一、契約雙方當事人之名稱。
二、契約雙方當事人接到期貨交易人之申訴等，應即互為通知。
三、佣金及其他相關費用之約定事項。
四、期貨交易輔助人代理業務之範圍及其執行程序。
五、契約雙方當事人應行提供資訊及服務事項之範圍。
六、任一契約當事人請求他方提供必要之相關業務、財務資料，不得拒絕。
七、任一契約當事人不得就自他方已取得之資料，為不當之利用。
八、期貨交易輔助人無法執行其業務時，應由委任期貨商逕行辦理。
九、因可歸責於他方契約當事人之事由所致損害之處理方式。
十、因不可歸責於契約當事人之事由所致損害之處理方式。
十一、期貨交易輔助人就第三條第一項所定各款業務之履行有故意或過失，其對期貨交易人或第三人所生之損害賠償責任，委任期貨商應與自己之故意或過失，負同一責任。
十二、交易糾紛之處理。
十三、契約條款之變更。
十四、契約之解除或終止。
十五、契約生效日期。
十六、其他與當事人權利義務有關之必要記載事項。
十七、其他經本會規定應行記載之事項。
委任期貨商對於前項第十一款之責任，不得預先與期貨交易輔助人約定免除。
第一項委任契約之變更或解除，應於變更或解除之日起二日內報本會備查。