Under any of the following circumstances, the futures company shall immediately notify or make an announcement in writing and report to the dispatched office of the China Securities Regulatory Commission where it is domiciled: (1) The company or its directors, supervisors and senior managers are investigated by the competent authorities or take compulsory measures because of suspected violation of laws and regulations; (2) The company or its directors, supervisors and senior managers are subject to administrative or criminal penalties for illegal acts; (3) The risk supervision indicators do not meet the prescribed standards; (four) the customer has a major overdraft, which may affect the continuous operation of the futures company; (five) the occurrence of unexpected events, which have or may have a significant adverse impact on the interests of futures companies or customers; (6) Other circumstances that may affect the continuing operation of the futures company.

Investigation of shareholders, actual controllers and other related parties in Section 2 of Chapter 3 of the Testing Center.