| Article 1 |
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| Article 2 |
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| Article 3 |
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| Article 4 |
An FCM shall report the following information through electronic media:
1. Basic information:
(1) Futures commission merchant basic information
(2) Information on the directors, supervisors, managers, and shareholders with shareholding of more than 10% of the futures commission merchant, and on any changes of shareholdings of such persons
2. Financial information:
(1) Statements to be filed on a daily basis or from time to time:
(i) Spreadsheet of adjusted net capital (ANC)
(ii) For overseas Chinese and foreign national investors: the status of foreign exchange settlement of funds and summary information on margin account equity
(2) Statements to be filed on a monthly basis:
(i) Monthly statement of account titles
(ii) Profile of revenue/expenditures
(iii) Monthly statement of financial ratios
(iv) Spreadsheet of adjusted net capital (ANC)
(v) Bank deposit statements filed in March and September
(3) Statements to be filed on an annual and semi-annual basis:
(i) Balance sheets for annual and semi-annual financial reports
(ii) Income statements for annual and semi-annual financial reports
(iii) Statements of changes in shareholders' equity for annual and semi-annual financial reports
(iv) Cash flow statements for annual and semi-annual financial reports
(v) CPA audit reports for annual and semi-annual financial reports
Reporting of the statements in points [iii]through [v] of this item shall not apply to an enterprise concurrently operating futures business.
3. Information on business operations:
(1) Statements to be filed on a daily basis or from time to time:
(i) Details of out-trades of futures commission merchants
(ii) Details for defaults by principals
(2) Statements to be filed on a monthly basis:
(i) Monthly statement of futures trading volume in domestic market
(ii) Monthly statement of futures trading volume in foreign markets |
| Article 5 |
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| Article 6 |
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| Article 7 |
The file formats for the statements reported by an FCM by means of file uploading are respectively as follows:
1. Record of monthly statements of account titles, see the file format in Attachment 1.
2. Record of profiles of revenue/expenditures, see the file format in Attachment 2
3. Record of bank deposit statements, see the file format in Attachment 3.
4. Record of spreadsheets of adjusted net capital (ANC), see the file format in Attachment 4.
5. Record of monthly statements of financial ratios, see the file format in Attachment 5.
6. Record of annual and semi-annual balance sheets, see the file format in Attachment 6.
7. Record of annual and semi-annual income statements, see the file format in Attachment 6.
8. Record of annual and semi-annual statements of changes of shareholders' equity, see the file format in Attachment 7.
9. Record of annual and semi-annual cash flow statements, see the file format in Attachment 8.
10. Annual and semi-annual CPA audit reports, see the file format in Attachment 8.
11. Record of monthly statements of futures trading volume in domestic markets, see the file format in Attachment 9.
12. Record of monthly statements of futures trading volume in foreign markets, see the file format in Attachment 10.
13. Record for reporting directors, supervisors, managers, and shareholders with a shareholding of more than 10% of the futures commission merchant, and any changes of shareholding for any such person, see the file format in Attachment 11.
14. For reporting of out-trade details of futures commission merchants, see the file format in Attachment 12.
15. For reporting of details of default by principals by the futures commission merchant, see the file format in Attachment 13.
16. For overseas Chinese and foreign national investors: the status of foreign exchange settlement of funds and summary information on margin account equity, see the file formats in Attachments 14 and 15. |
| Article 8 |
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| Article 9 |
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