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Title:

Guidelines for Online Filing of Public Information by Public Companies  CH

Amended Date: 2014.11.06 (Articles 5, 10 amended,English version coming soon)
Current English version amended on 2004.12.17 
Article 1     These Guidelines are established in accordance with the letter of the Securities and Futures Commission, Ministry of Finance (the "Competent Authority") No. Taiwan-Financial-Securities-I-0910003639, dated June 28, 2002.
Article 2     All public information that must be filed by a public company is governed by these Guidelines.
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Article 3     A public company must make its filings through the website designated by the Competent Authority, the Taiwan Stock Exchange Corporation (the "TWSE"), or the GreTai Securities Market (the "GTSM"). If for any reason the public company cannot file through the internet, it may temporarily file in written form subject to the approval of the Competent Authority, the TWSE, or the GTSM, provided it shall enter the information online within two days thereafter.
Article 4     A public company must submit an application form and stamp it with the company seal to apply to the related unit for filing public information online. A public company can only apply for one account, unless it is undergoing business transformation or has received prior approval from the related unit.
Article 5     The time limits and items for public information to be filed by a public company are governed by the List of Information Required to be Filed by Public Companies (Attachment 1) and the following provisions:
  1. The public information that shall be filed periodically and aperiodically by TWSE/GTSM-listed companies shall comply with the Taiwan Stock Exchange Corporation Rules Governing Information Filing by Companies with TWSE Listed Securities or GreTai Securities Market Rules Governing Information Reporting by Companies with GTSM Listed Securities. The filing of material information shall comply with the Taiwan Stock Exchange Corporation Procedures for Verification and Disclosure of Material Information of Companies with Listed Securities or GreTai Securities Market Procedures for Verification and Disclosure of Material Information of Companies with GTSM Listed Securities; and Taiwan Stock Exchange Corporation Procedures for Press Conferences Concerning Material Information of Listed Companies or GreTai Securities Market Procedures for Press Conferences Concerning Material Information of Companies with GTSM Listed Securities.
  2. The public information that shall be filed periodically and aperiodically and material information that shall be filed by emerging stock companies must comply with the GreTai Securities Market Rules Governing the Review of Emerging Stocks for Trading on the GTSM or other applicable regulations.
    The public information that must be declared periodically and aperiodically and material information that shall be filed by public companies not described in the above two subparagraphs shall comply with the List of Information Required to be Filed by Public Companies
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Article 6     The setup of equipment, connection, network certification procedure, system maintenance, and management of the public company online filing system are governed by the "Operations Manual for Online Filing of Public Information" (Attachment 2)
Article 7     The public information filed by a public company online shall be preserved for five years. The preservation period of the related written information is governed by the relevant business provisions.
Article 8     A public company shall include these Guidelines in their written internal control system and internal audit implementation rules. The internal auditor shall periodically examine the suitability of the online public information filing internal control system and compliance of the filing department the guidelines for online filing of public information.
Article 9     If the public information filed by a public company and published through the related information system is found to be false or untrue, the public company shall take full responsibility.
Article 10     If a public company violates these Guidelines, the following terms shall apply:
  1. TWSE/GTSM-listed companies are governed by the Taiwan Stock Exchange Corporation Rules Governing Information Filing by Companies with TWSE Listed Securities or GreTai Securities Market Rules Governing Information Reporting by Companies with GTSM Listed Securities; Taiwan Stock Exchange Corporation Procedures for Verification and Disclosure of Material Information of Companies with Listed Securities or GreTai Securities Market Procedures for Verification and Disclosure of Material Information of Companies with GTSM Listed Securities; and Taiwan Stock Exchange Corporation Procedures for Press Conferences Concerning Material Information of Listed Companies or GreTai Securities Market Procedures for Press Conferences Concerning Material Information of Companies with GTSM Listed Securities.
  2. Emerging stock companies are governed by the Guidelines Governing the Review of Emerging Stock Trading on the Business Premises of Securities Firms or other relevant regulations.
  3. If public companies and listed companies other than the ones referred to in the preceding two paragraphs do not follow the Securities and Exchange Act and other related regulations in disclosing information, the TWSE shall present the violations and all related information to the Competent Authority. If GTSM-listed companies and emerging stock companies do not follow the Securities and Exchange Act and other related regulations in disclosing information, the GTSM shall present the violations and all related information to the Competent Authority.
Article 11     Any public information filed by a public company that is found upon investigation to be erroneous shall, pursuant to the Article 10, immediately be corrected and reentered with the correct information.
Article 12     These Guidelines shall take effect after having been submitted to and approved by the Competent Authority. Subsequent amendments thereto shall be effected in the same manner.