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Article NO. Content

Title:

Taiwan Stock Exchange Corporation Directions For the Recognition of the Qualifications of Issuers of Exchange-Traded Funds and Underlying Indexes  CH

Amended Date: 2014.06.16
Article 4     If the underlying index of the ETF for which the issuer is applying for listing is not compiled by the TWSE or jointly compiled by the TWSE and other institutions, the issuer shall, pursuant to Article 23, paragraph 3 of the TWSE Rules Governing Review of Securities Listings, before applying to the competent authority for approval to offer the fund, fill out the application form in the appendix and, after paying an application review fee, apply to the TWSE for a letter of consent by submitting the application with the following documents attached:
  1. Photocopy of the index license agreement or letter of intent entered into with the index compiler.
  2. Relevant written documents proving that the index compiler complies with Article 3, paragraph 2.
  3. Relevant written documents proving that the components of the underlying index comply with Article 3, paragraph 3.
  4. Analysis of the liquidity of the components of the underlying index and related reference documents.
  5. A detailed description of the method for and basis of the calculation of the underlying index, and the principles for selecting and replacing the components of the underlying index.
  6. Historical archive of the underlying index for at least the most recent 1 year.
  7. All the channels through which domestic investors, in the future after the ETF has been listed, will be able to access information related to the index, and relevant information.
    The TWSE may request the issuer to provide relevant supplements and descriptions, depending on the circumstances.