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Article NO. Content

Title:

Operating Rules of the Taiwan Stock Exchange Corporation  CH

Amended Date: 2019.03.28 (Articles 50, 50-3 amended,English version coming soon)
Current English version amended on 2019.02.12 
Article 43-2     After the TWSE has approved an application by a trustee institution for listing of beneficial securities issued by it or an application by a special purpose company for listing of asset-backed securities issued by it, and the Agreement for Listing has been signed and taken effect, listing fees shall be paid in accordance with the Agreement for Listing, and, upon receiving notice from the TWSE, the issuer shall upload an electronic file of the prospectus onto the Internet information reporting system designated by the TWSE. Further, 1 day prior to the date it has set with the TWSE for commencement of listing for trading, the trustee institution or special purpose company shall report information related to the listing onto the Internet information reporting system designated by the TWSE, and shall send the downloaded information to the TWSE.
    The information related to listing referred to in the preceding paragraph shall include the following particulars:
  1. Date and reference number of the Competent Authority's approval of issuance.
  2. Date of commencement of listing for trading.
  3. Names, addresses, telephones, and Internet addresses of the trustee institution and the trust supervisor or the special purpose company and the supervisory institution.
  4. Name, address, telephone, and Internet address of the originator.
  5. Date of issue and period of validity.
  6. Total monetary amount and total number of units to be issued.
  7. Summary data of the beneficial securities or asset-backed securities.
  8. Asset pool contents.
  9. Name, address, and telephone of the service institution and backup service institution.
  10. Name, address, and telephone, of the securities underwriter; underwriting period, price, and volume.
  11. Any other particulars required to be publicly announced.
    In cases of applications by trustee institutions for listing of beneficial securities issued thereby or by special purpose companies for asset-backed securities issued thereby, after the Agreement for Listing has taken effect, if the securities are not listed for trading in accordance with provisions within 3 months from the date of the written notice by the TWSE, the listing shall be cancelled, and the matter shall be reported to the Competent Authority for recordation. With legitimate reasons, and upon approval by the TWSE, the period may be extended for a single term of 3 additional months, which shall be reported to the Competent Authority for recordation. However, a suspension period referred to in paragraph 4 shall not be counted therein.
    Before the commencement of listing for trading of beneficial securities or asset-backed securities under the preceding paragraph, if concrete evidence is discovered of the likelihood of existence, before or subsequent to the effectiveness of the Agreement for Listing, of any circumstance under which listing would be inappropriate, or if the Competent Authority voids or revokes the effective registration or approval for the public offering, the TWSE may suspend the listing of the beneficial securities or asset-backed securities, conduct an investigation, and file a report with the Competent Authority for recordation. In the event the trustee institution or special purpose company refuses to submit to investigation by the TWSE or to supply necessary information, or the circumstances inappropriate to listing are verified through investigation, the TWSE may void its Agreement for Listing or delist the securities, and report to the Competent Authority for recordation. In the event it is shown upon investigation that there are no inappropriate circumstances for listing, the TWSE may notify the institution or company to resume the listing process, and report to the Competent Authority for recordation. However, where there remains any uncertainty about appropriateness for listing, the TWSE may continue to suspend the listing of the beneficial securities or asset-backed securities for trading.
    Listed beneficial securities and asset-backed securities shall be assigned by the TWSE a code number and an abbreviated name for uniform usage.