The Competent Authority shall adopt market surveillance regulations to protect the public interest and maintain market order.

In the event of any of the following circumstances in the futures market or futures trading, the Competent Authority may issue orders to adjust the margin level, restrict the trading volume or open positions of futures traders, or adopt any other necessary measures. In extraordinary circumstances, the Competent Authority may order the complete or partial suspension of futures trading:
1. The futures market or futures trading is subject to manipulation or monopoly or the risk thereof.
2. Any measure taken by the Taiwan government or a foreign government is sufficient to affect the futures market, futures trading, or certain underlying assets of futures trading.
3. The foreign or domestic market fluctuates substantially due to natural disasters, war, civil commotion, or other force majeure events, which will severely impede the futures market, futures trading, or certain underlying assets of futures trading.
4. Other event which will severely affect the futures market order or harm the public interest.

Futures exchanges, futures clearing houses, futures enterprises, and futures associations shall periodically prepare and file with the Competent Authority financial reports that have been audited and attested, or reviewed, by a certified public accountant, and shall preserve the trading and business records.
The rules regarding the preparation of the financial reports, filing procedures, particulars for public announcement, and record keeping referred to in the preceding paragraph shall be prescribed by the Competent Authority.

Futures exchanges, futures clearing houses, and futures enterprises shall establish financial and operational internal control systems.
The Competent Authority may prescribe regulations governing the internal control systems of companies or institutions under the preceding paragraph.
Unless approved by the Competent Authority, a company or institution under paragraph 1 shall file a statement of internal control to the Competent Authority within three months after the close of each accounting year.

To protect the public interest or maintain the market order, the Competent Authority may, from time to time, order a futures exchange, futures clearing house, futures enterprise, futures association or any related parties having financial or business dealings with the parties above to furnish financial or business report materials or examine their business, assets, accounting books, documents or other related articles. If there is found to be any material suspicion of a violation of laws or regulations, the Competent Authority may place under seal or require the production of relevant documents.
The scope of the related parties referred to in the preceding paragraph shall be prescribed by the Competent Authority.

To maintain the public interest and market order, if there is a likelihood of any violation of this Act, the Competent Authority may request institutions, organizations, or individuals related to the futures trading to submit relevant account books or documents, or notify relevant personnel to appear at the office of the Competent Authority to give statements. The regulations governing the above shall be prescribed by the Competent Authority.
Persons being requested to appear under the preceding paragraph may retain attorneys-at-law, certified public accountants, or other persons who, under the law, can legally represent and defend them.

If a futures exchange, futures clearing house, or futures enterprise violates this Act or any regulation issued pursuant to this Act, in addition to imposing penalties as set out herein, the Competent Authority may, depending upon the severity of the violation, additionally issue a reprimand or impose the following sanctions and, in addition thereto, order such violator to correct its conduct within a limited period of time:
1. Warning.
2. Remove its responsible persons or other related personnel.
3. Order suspension of its business in part or in whole for not more than six months.
4. Withdraw or revoke its business permission.
5. Other necessary measures.

If a responsible person or employee of a futures exchange, futures clearing house, or futures enterprise violates this Act or any regulation issued pursuant to this Act, in addition to imposing penalties as set out herein, the Competent Authority may, depending on the seriousness of the violation, may order suspension of their execution of business for not more than six months or their removal from their position. In addition, the Competent Authority may impose upon the futures exchange, futures clearing house, or futures enterprise sanctions in accordance with the preceding Article.
After any of the personnel referred to in the preceding paragraph is removed from their position, the futures exchange, futures clearing house, or futures enterprise shall report the same to the Competent Authority.

To protect the public interest, the Competent Authority may issue an order notifying a futures exchange, futures clearing house, or futures association to amend its articles of association, operating rules, brokerage contract regulations, or other rules or suspend, restrict, amend, or withdraw any resolution or disposition made by such exchange, clearing house, or association.

The Competent Authority may appoint persons to a futures exchange or futures clearing house for supervisory purposes. The regulations governing supervision shall be prescribed by the Competent Authority.