Regulations Governing the Operation of Futures Introducing Broker Business by Securities Firms Article 5
When a futures introducing broker accepts the account opening of a futures trader on behalf of a futures commission merchant, the provisions of Article 25, Article 28, and paragraph 2 of Article 30 of the Regulations Governing Futures Commission Merchants shall apply mutatis mutandis. In addition, it shall -1. conduct credit investigation on futures traders; and2. prior to accepting account opening of a futures trader, provide the brokerage contract, risk disclosure statement, documents with explanations on the rights and obligations between the futures introducing broker and the futures trader, and other account-opening information etc., assign registered qualified associated person to explain in detail to the futures trader the relevant rights, obligations, and risks, and acquire a statement from the futures trader that he/she has been fully advised of, read, and understood the same before a brokerage contract can be entered; the relevant information shall be delivered to the futures trader to be signed or sealed and dated for custody and submitted to the mandating futures commission merchant for confirmation and for its signature or seal.When a mandating futures commission merchant confirms and signs or seals the relevant information regarding account opening of a futures trader pursuant to subparagraph 2 of the preceding paragraph, it shall follow the relevant futures laws and regulations.
中文原文 證券商經營期貨交易輔助業務管理規則第5條
期貨交易輔助人代理期貨商接受期貨交易人開戶，除準用期貨商管理規則第二十五條、第二十八條及第三十條第二項規定外，並應依下列規定辦理：
一、對期貨交易人進行徵信工作。
二、期貨交易輔助人應於接受期貨交易人開戶前，提供受託契約、風險預告書及載明期貨交易輔助人與期貨交易人間權利義務關係之說明文件等開戶資料，指派登記合格之業務員向期貨交易人詳盡說明相關權利、義務及風險，並經期貨交易人出具聲明書確認已獲充分告知、閱讀並瞭解後，始得簽訂受託契約；相關資料應交由期貨交易人簽名或蓋章並加註日期存執，並送交委任期貨商確認並簽名或蓋章。
委任期貨商依前項第二款為期貨交易人開戶相關資料之確認並簽名或蓋章時，應依期貨相關法令規定辦理。
一、對期貨交易人進行徵信工作。
二、期貨交易輔助人應於接受期貨交易人開戶前，提供受託契約、風險預告書及載明期貨交易輔助人與期貨交易人間權利義務關係之說明文件等開戶資料，指派登記合格之業務員向期貨交易人詳盡說明相關權利、義務及風險，並經期貨交易人出具聲明書確認已獲充分告知、閱讀並瞭解後，始得簽訂受託契約；相關資料應交由期貨交易人簽名或蓋章並加註日期存執，並送交委任期貨商確認並簽名或蓋章。
委任期貨商依前項第二款為期貨交易人開戶相關資料之確認並簽名或蓋章時，應依期貨相關法令規定辦理。