Title: |
Application for Accreditation as a Qualified Call (Put) Warrant Issuer |
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Amended Date: | 2014.05.29 |
Categories: |
Securities Exchange Market > Trading > Call (Put) Warrants |
┌───────────┬──┬────────────┬──┐ │Name of Applicant │ │Nationality and Place of│ │ │ │ │Corporate Headquarters │ │ ├───────────┼──┴────────────┼──┤ │Date of Establishment │ │ │ │and License No. │ │ │ ├───────────┴───────────────┴──┤ │Date of Application: │ ├───────────┬──────────────────┤ │Note │ │ ├─────┬─────┴──────────────────┤ │Attachment│1.A statement, undertaking that none of the │ │ │ circumstances in Article 7 of the Regulations │ │ │ Governing the Issuance of Call (Put) Warrants │ │ │ by Issuers applies to the issuer, and │ │ │ supporting documents. │ │ │2.The two most recent CPA audited and certified │ │ │ annual financial reports of the issuer. If the│ │ │ date of application falls in the second half │ │ │ of the year, a CPA audited and certified or │ │ │ reviewed financial report of the first six │ │ │ months is required (a foreign applicant may │ │ │ prepare its financial report according to the │ │ │ laws and regulations of the jurisdiction in │ │ │ which it is located, and a CPA of the Republic│ │ │ of China shall comment on the differences │ │ │ between the accounting principles adopted in │ │ │ the Republic of China and the jurisdiction │ │ │ where the foreign applicant is located, and │ │ │ the impact of the differences on the financial│ │ │ report). │ │ │3.A statement, undertaking that the issuer has │ │ │ satisfied the requirements under Paragraph 2, │ │ │ Article 5 of the Regulations Governing the │ │ │ Issuance of Call (Put) Warrants by Issuers, │ │ │ and supporting documents, or documents │ │ │ certifying a foreign issuer's credit rating. │ │ │4.Position, current value, and the method(s) │ │ │ used to evaluate the price of the issuer's │ │ │ derivatives as of the most financial │ │ │ statements submitted by the issuer. │ │ │5.The risk management system and strategy for │ │ │ offsetting foreseeable risks. │ │ │6.A legal opinion issued by lawyer. │ │ │7.If the issuer is a foreign institution, a │ │ │ letter of consent issued by its board of │ │ │ directors, or an affidavit guaranteeing │ │ │ performance and documents certifying the │ │ │ appointment of a designated agent in the │ │ │ Republic of China for litigation, │ │ │ administrative disputes, and non-litigation │ │ │ matters. │ │ │8.Where a foreign institution establishes a │ │ │ branch in the territory of the Republic of │ │ │ China directly or indirectly through a │ │ │ wholly-owned subsidiary, the terms and │ │ │ conditions of the agency agreement signed with│ │ │ the branch in the Republic of China. │ │ │9.Where an issuer appoints a foreign institution│ │ │ to act as a risk management agency or an │ │ │ issuer is a foreign institution, the letter of│ │ │ approval from the competent authority │ │ │ regulating the foreign institution. │ │ │10.Photocopy of the change form of corporate │ │ │ registration or a photocopy of the permit / │ │ │ license issued by the competent authority to │ │ │ the company. │ │ │11.Other documents as required by the competent │ │ │ authority and the TWSE or TPEx. │ ├─────┴────────────────────────┤ │Applicant: │ │ │ │Address: │ │TEL: │ │ │ │Legal │ │Representative: Signature (Contact and TEL: )│ └──────────────────────────────┘