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Article NO. Content

Title:

Taiwan Stock Exchange Corporation Directions for the Particulars to be Recorded in Risk Disclosure Statements for Securities with Warrants  CH

Announced Date: 2001.11.09
5     The risk disclosure statement is not inclusive and is not a comprehensive list of all risks of securities with warrants and factors that may affect market performance. Before making an investment, the investor should not only carefully review this risk disclosure statement but also be alerted to other factors that may cause an impact, and make well-thought financial plans and thorough risk assessments to avoid insufferable losses from hasty or ill-judged decisions on investment.

    Note 1:The securities firm may include additional information in the particulars to be recorded in the risk disclosure statements depending on practical needs.
    Note 2:The principal shall sign the risk disclosure statement to undertake as below:
  1. it shall be solely responsible for the investment risks;
  2. it has received a copy of the risk disclosure statement in advance; and
  3. After being provided with explanations by the representative sent by the securities firm (the representative must also sign on the statement to take responsibility), it fully understands the risks of trading of securities with warrants.
    Note 3:The risk disclosure statement is executed in duplicate, with one copy to be retained by the securities firm for filing purpose and the other by the investor for reference.