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Title:

Taiwan Stock Exchange Corporation Application for Listing of Stock  CH

Amended Date: 2017.08.11 (Articles 1 amended,English version coming soon)
Current English version amended on 2015.10.15 
1     To:Taiwan Stock Exchange Corporation
    RE:As we have obtained approval for public offering of stock to be listed on the Taiwan Stock Exchange Corporation ("TWSE"), we hereby submit the Listing Contract for Securities and other required documents in accordance with the Securities and Exchange Act and the applicable policies and regulations of the TWSE for your further action.
┌─────────┬───┬───────┬─────┬──┐
│Name of applicant │ Co., │Total capital │Registered│    │
│                  │ Ltd. │              │capital   │    │
│                  │      │              ├─────┼──┤
│                  │      │              │Paid-in   │    │
│                  │      │              │capital   │    │
├─────────┼───┼───────┼─────┼──┤
│Date of           │      │Date of       │          │    │
│incorporation     │      │amendment to  │          │    │
│                  │      │registration  │          │    │
├─────────┼───┴──┬────┴─┬───┴──┤
│Class of          │Amount per  │Number of   │Total value │
│securities to be  │share (NT$) │issued share│of issued   │
│listed            │            │            │shares (NT$)│
├─────────┼──────┼──────┼──────┤
│Common shares     │            │            │            │
├─────────┼──────┼──────┼──────┤
│Preferred shares  │            │            │            │
├─────────┼──────┼──────┼──────┤
│Total             │            │            │            │
├─────────┼──────┼──────┼──────┤
│Date of           │            │            │            │
│application       │            │            │            │
├─────────┼──────┴──────┴──────┤
│Sources of        │Except in the case of over-allotment for│
│securities for    │stabilization of the offering price by  │
│public offering   │the securities underwriters, all shares │
│prior to listing  │will be issued through cash capital     │
│                  │increase. (For underwriting of issued   │
│                  │shares or new shares issued through cash│
│                  │capital increase of a company in a      │
│                  │special industry, a separate description│
│                  │is required.)                           │
├─────────┼────────────────────┤
│Notes             │                                        │
├──────┬──┴────────────────────┤
│Attachments │I. Required documents: (Required to be        │
│            │   submitted with the application for listing │
│            │   of stock)                                  │
│            │1.One copy of the most updated supporting     │
│            │  document of corporate registration.         │
│            │2.One copy of the letter approving the public │
│            │  offering issued by the competent authority  │
│            │  within the last three years (not required   │
│            │  for applications for listing of stock not   │
│            │  subject to review of the Review Commission).│
│            │3.For securities enterprises, financial       │
│            │  enterprises, insurance enterprises and      │
│            │  registered futures commission merchants, the│
│            │  approval letter of the competent authority  │
│            │  for the enterprise in question should be    │
│            │  submitted (not required to be submitted by  │
│            │  financial enterprises and insurances        │
│            │  enterprises which have obtained the approval│
│            │  letter prior to trading their stocks at the │
│            │  over-the-counter securities exchange in     │
│            │  accordance with Article 3 of the Taipei     │
│            │  Exchange Criteria Governing Review of       │
│            │  Securities Traded on Over-the-Counter       │
│            │  Markets.)                                   │
│            │4.One copy of the minutes of the meeting of   │
│            │  the board of directors or shareholders      │
│            │  resolving to approve the listing of         │
│            │  securities (affixed with the chop).         │
│            │5.Five copies of the Listing Contract for     │
│            │  Securities.                                 │
│            │6.Six copies of the financial reports for the │
│            │  last two fiscal years and the current term  │
│            │  prepared in accordance with the guidelines  │
│            │  governing the preparation of financial      │
│            │  reports promulgated by the competent        │
│            │  authority and certified by a joint          │
│            │  accounting firm (state-owned enterprises    │
│            │  shall comply with the Criteria Governing    │
│            │  Review of Securities), signed or affixed    │
│            │  chops by persons described in Paragraph 3,  │
│            │  Article 14 of the Securities and Exchange   │
│            │  Act; a statement representing that no       │
│            │  information is false or concealed in the    │
│            │  financial reports; the working papers and   │
│            │  permanent files relating to the above CPA   │
│            │  auditing, and one copy of the Certified     │
│            │  Public Accountant Auditing Procedure        │
│            │  Checklist prepared by the CPA (for          │
│            │  applications for listing of stock not       │
│            │  subject to review of the Review Commission, │
│            │  submission of the working papers and        │
│            │  permanent files relating to the above CPA   │
│            │  auditing is not required, provided the TWSE │
│            │  may request to access these documents for   │
│            │  review if necessary).                       │
│            │7.The applicant's financial forecasts for the │
│            │  current quarter of the application and the  │
│            │  following quarter (subject to request for   │
│            │  access by the TWSE for review if necessary).│
│            │8.Six copies of the audit report on the       │
│            │  company's internal control prepared by the  │
│            │  CPA on a specific project basis.            │
│            │9.15 copies of the securities underwriter's   │
│            │"evaluation report of listing of stock", the  │
│            │relevant working papers, index of the working │
│            │papers in respect of the items for evaluation,│
│            │and a statement that no information is false  │
│            │or concealed therein (for applications for    │
│            │listing of stock not subject to review of the │
│            │Review Commission, except the review working  │
│            │paper under Article 9 of the Criteria for     │
│            │Review of Securities Listings, submission of  │
│            │other working papers and index of the working │
│            │papers in respect of the items for evaluation │
│            │is not required, provided the TWSE may request│
│            │to access these documents for review if       │
│            │necessary).                                   │
│            │10.One copy of the Review Form of the         │
│            │   Circumstances under Article 9 of the       │
│            │   Criteria for Review of Securities Listings │
│            │   prepared and completed by the securities   │
│            │   underwriter.                               │
│            │11.15 copies of the draft prospectus and one  │
│            │copy of the supporting document proving that  │
│            │an electronic file of the draft prospectus has│
│            │been uploaded to the information reporting    │
│            │website designated by the competent authority │
│            │(http://sii.tse.com.tw).                      │
│            │12.One copy of the Checklist of Legal Issues  │
│            │   to be Examined upon Application by Issuers │
│            │   for Exchange Listings of Stock prepared and│
│            │   completed by the lawyer, the working paper │
│            │   thereof, and one copy of a statement issued│
│            │   by the lawyer and the applicant each that  │
│            │   none of the circumstances under Paragraph 4│
│            │   of the Important Information of the above  │
│            │   checklist applies to them.                 │
│            │13.One copy of the shareholding dispersal     │
│            │   status, attached with a copy of an         │
│            │   undertaking that the shareholding dispersal│
│            │   has met the required criteria.             │
│            │14.One copy of a statement of the basis and   │
│            │   method of the joint determination of the   │
│            │   offering price by the applicant and the    │
│            │   securities underwriter.                    │
│            │15.One copy of each of two statements, issued │
│            │   by the applicant separately, that there is │
│            │   no false or concealed information in the   │
│            │   Application for Listing of Stock and the   │
│            │   attachments thereto.                       │
│            │16.One copy of undertaking of centralized     │
│            │   custody of shares.                         │
│            │17.One copy of the supporting document of the │
│            │   registration of non-physical securities    │
│            │   (including common shares, preferred shares,│
│            │   corporate bonds, convertible corporate     │
│            │   bonds, corporate bonds with warrants,      │
│            │   exchangeable corporate bonds, etc.).       │
│            │18.Review list of the type of industry of the │
│            │   listed company for initial public offering.│
│            │19.If the directors, supervisors and          │
│            │   shareholders holding 10% or more shares of │
│            │   the applicant have entered into an         │
│            │   agreement with respect to share purchase   │
│            │   with repurchase terms with a third party,  │
│            │   one copy of each of these agreements in    │
│            │   effect as of the application and the       │
│            │   relevant information.                      │
│            │20.One copy of the corporate governance       │
│            │   self-evaluation report on the status of    │
│            │   corporate governance prepared and completed│
│            │   by the applicant (not required if a        │
│            │   corporate governance evaluation report     │
│            │   issued by an external independent and      │
│            │   impartial institution is submitted) (for   │
│            │   implementation from October 1, 2007).      │
│            │21.An undertaking that a Chinese website of   │
│            │   the company will be created prior to       │
│            │   listing of stock (not required if one has  │
│            │   been created by the time of the            │
│            │   application).                              │
│            │22.Good faith statement issued by the         │
│            │   applicant, securities underwriter, lawyer  │
│            │   and CPA each.                              │
│            │23.An undertaking from the applicant to       │
│            │   include electronic means in the articles of│
│            │   incorporation as an avenue for shareholders│
│            │   to exercise their voting rights and to     │
│            │   elect directors and supervisors through the│
│            │   nomination system.                         │
│            │24.One list of the insiders and their         │
│            │   shareholdings.                             │
│            │25.Document issued by Taiwan Depository &     │
│            │   Clearing Corporation showing that the stock│
│            │   personnel and equipment of the applicant's │
│            │   professional stock agentor unit have       │
│            │   complied withthe Regulations Governing the │
│            │   Administration of Shareholder Services of  │
│            │   Public Companies with no record of failure │
│            │   to rectify within the prescribed time      │
│            │   limit, for the past three years.           │
│            │26.One copy of evidence showing that the      │
│            │   responsible person, directors, supervisors,│
│            │   and shareholders holding 10% or more shares│
│            │   of the applicant have attended a training  │
│            │   course on securities legislation and that  │
│            │   the directors and supervisors have         │
│            │   completed three hours of a corporate       │
│            │   governance course in the year immediately  │
│            │   before the date of application (not        │
│            │   applicable to state-owned enterprises and  │
│            │   OTC companies).                            │
│            │27.A financial reporting assessment or        │
│            │   proposal to enhance financial reporting,   │
│            │   from the applicant (enforced with effect   │
│            │   from 2016).                                │
│            │28.Other necessary supporting documents or    │
│            │   information.                               │
│            │                                              │
│            │II. Documents available for review: (subject  │
│            │    to request for access by the TWSE for     │
│            │    review if necessary)                      │
│            │1.One copy of each of the company's accounting│
│            │  system and internal control system.         │
│            │2.Six copies of each of the financial         │
│            │  statements and/or consolidated statements   │
│            │  for the third year before the application,  │
│            │  certified by the CPA, and the working papers│
│            │  relating to the CPA auditing.               │
│            │3.A statement issued by Taiwan Depository &   │
│            │  Clearing Corporation that the personnel     │
│            │  responsible for and equipment used for stock│
│            │  affairs at the professional agent for stock │
│            │  affairs or unit for stock affairs of the    │
│            │  applicant have met the requirements under   │
│            │  the Criteria Governing Handling of Stock    │
│            │  Affairs by Public Companies in the last     │
│            │  three years and that there is no delayed    │
│            │  improvement.                                │
├──────┴───────────────────────┤
│Applicant:                          Co., Ltd.               │
│Representative:                     (Signature or Chop)     │
│Company Address:                                            │
│Contact:                            TEL:                    │
└──────────────────────────────┘
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