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Application for Listing of Beneficial Certificates of Exchange-Traded Funds  CH

Amended Date: 2014.06.16
1     Application for Listing of Beneficial Certificates of Exchange-Traded Funds

    To: Taiwan Stock Exchange Corporation (TWSE)
    Subject: The company desires to list on the TWSE the following beneficial securities issued by the exchange-traded □securities investment trust □futures trust fund which it is authorized to offer, and hereby submits the required documents pursuant to the Securities and Exchange Act and relevant rules of the TWSE. Your approval is appreciated.
┌───────┬──────────────────────┐
│Name of       │Company Limited by Shares                   │
│Applicant     │                                            │
├───────┼────┬────┬─────┬──────┤
│Date of       │        │Total   │Registered│            │
│Incorporation │        │Capital │Capital   │            │
│              │        │        ├─────┼──────┤
│              │        │        │Paid-in   │            │
│              │        │        │Capital   │            │
├───────┼────┼────┼─────┼──────┤
│Name of       │Type of │Proposed│Reference │Notes       │
│Exchange-     │Fund    │Date of │Number and│            │
│traded        │        │Listing │Date of   │            │
│Securities    │        │        │Letter of │            │
│Investment    │        │        │the       │            │
│Trust Fund to │        │        │Approval  │            │
│be Listed     │        │        │of the    │            │
│              │        │        │Competent │            │
│              │        │        │Authority │            │
├───────┼────┼────┼─────┼──────┤
│              │        │        │          │The company │
│              │        │        │          │will,       │
│              │        │        │          │pursuant to │
│              │        │        │          │the rules,  │
│              │        │        │          │key in to   │
│              │        │        │          │the internet│
│              │        │        │          │filing      │
│              │        │        │          │system      │
│              │        │        │          │designated  │
│              │        │        │          │by the TWSE │
│              │        │        │          │its         │
│              │        │        │          │available   │
│              │        │        │          │net asset   │
│              │        │        │          │value of    │
│              │        │        │          │each unit of│
│              │        │        │          │beneficial  │
│              │        │        │          │right, total│
│              │        │        │          │number of   │
│              │        │        │          │units of    │
│              │        │        │          │beneficial  │
│              │        │        │          │right and   │
│              │        │        │          │net asset   │
│              │        │        │          │value of the│
│              │        │        │          │fund one    │
│              │        │        │          │business day│
│              │        │        │          │before      │
│              │        │        │          │listing.    │
├───────┼────┴────┴─────┴──────┤
│Name of the   │                                            │
│Custodian     │                                            │
│Institution of│                                            │
│the Fund      │                                            │
├───────┼──────────────────────┤
│Date of       │(Month, Day, Year)                          │
│Application   │                                            │
├───────┼──────────────────────┤
│Appendix      │1. Three counterparts of the issue plan.    │
│              │2. Three counterparts of the letter for     │
│              │   recordation of approval of the competent │
│              │   securities authority for the             │
│              │   establishment of the fund.               │
│              │3. Three counterparts of documentary proof  │
│              │   of authorization of the fund index.      │
│              │   (Applicants applying for listing with a  │
│              │   linked exchange-traded securities        │
│              │   investment trust fund under Paragraph 4, │
│              │   Article 37 of the Regulations Governing  │
│              │   Securities Investment Trust Funds are    │
│              │   required to submit documentary proof of  │
│              │   the agreement of the issuer of the       │
│              │   offshore exchange-traded fund to link its│
│              │   offshore fund, documents stating the     │
│              │   conditions, deadline and important rights│
│              │   and obligations of the fund linking to   │
│              │   the offshore fund, and documentary proof │
│              │   of authorization of the necessary        │
│              │   relevant index obtained from the targeted│
│              │   index's right holder by the securities   │
│              │   investment trust fund.)                  │
│              │4. Five counterparts of the listing contract│
│              │   of beneficial certificate.               │
│              │5. Three counterparts of the previous fiscal│
│              │   year and latest financial reports of the │
│              │   □securities investment trust enterprise │
│              │     □futures trust enterprise.            │
│              │6. Prospectus (to be delivered in the form  │
│              │   and number of copies prescribed by the   │
│              │   TWSE).                                   │
│              │7. Three counterparts of the □ securities  │
│              │   investment trust □ futures trust        │
│              │   agreement.                               │
│              │8. Three counterparts of the beneficial     │
│              │   certificate agency agreement (not        │
│              │   required if certificate business is      │
│              │   self-handled).                           │
│              │9. Registration and relevant book-entry     │
│              │   agreement signed with the institution of │
│              │   centralized securities depository        │
│              │   enterprise regarding issuance of         │
│              │   non-physical beneficial certificates.    │
│              │10. Three counterparts of the liquidity     │
│              │    provider contract signed according to   │
│              │    Article 13 of the Taiwan Stock Exchange │
│              │    Corporation Rules Governing Trading of  │
│              │    Beneficial Certificates.                │
│              │11. Other necessary documentary proof or    │
│              │    information.                            │
│              │12. Applicant offering a linked             │
│              │    exchange-traded securities investment   │
│              │    trust fund that conforms to Paragraph 4,│
│              │    Article 37 of Regulations Governing     │
│              │    Securities Investment Trust Funds are   │
│              │    required to submit the following        │
│              │    documents additionally:                 │
│              │(1) The latest financial reports of the     │
│              │    offshore fund and a simplified Chinese  │
│              │    translation thereof, investment         │
│              │    portfolio, prospectus with its Chinese  │
│              │    translation, and other relevant         │
│              │    information.                            │
│              │(2) Documentary proof of the listing of the │
│              │    offshore fund on a foreign stock        │
│              │    exchange.                               │
├───────┴──────────────────────┤
│                            Applicant:                      │
│                            Representative: (Signature)     │
│                            Company Address:                │
│                            Telephone Number:               │
└──────────────────────────────┘