• Font Size:
  • S
  • M
  • L
友善列印
WORD

Article NO. Content

Title:

Taiwan Stock Exchange Corporation Regulations for Handling Deficiencies in Evaluation Reports or Other Related Information Submitted by a Securities Underwriter  CH

Amended Date: 2012.10.05
Article 8     For securities underwriters that have been given demerit points according to Article 4 above, their handling personnel shall attend and complete, with proof, an advanced underwriting course organized by the Securities Association for at least 15 hours within six months after the public notice of the TWSE, or the TWSE may dismiss cases handled by these personnel.
    The securities underwriter shall send a list of names of the handling personnel of the cases on which demerit points were given according to the preceding paragraph within three days after the issue of the public notice, with copies of the list to be sent to the Taiwan Securities Association and GTSM. The TWSE may extend the time for review of cases pending review that were handled by these personnel if no substitute personnel have been assigned to the cases after careful consideration and the underwriter has not represented that an adequate assessment has been performed.
    Upon completion, with proof, of the advanced course by the handling personnel of cases on which demerit points were given, as described in the preceding paragraph, the securities underwriter shall send a notice to the TWSE, with a copy to the GTSM.