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Article NO. Content

Title:

Taiwan Stock Exchange Corporation Procedures for Verification and Disclosure of Material Information of Listed Exchange Traded Notes by Securities Firms  CH

Announced Date: 2018.09.10 
Article 2     The term Material Inofrmation as used in the Procedures means occurrence of any of the following events of the securities firm issuing the ETNs or of the listed ETNs:
  1. The event(s) stipulated in Article 36 paragraph 3 subparagraph 2 of Securities and Exchange Act happening to the securities firm;
  2. Dishonored check(s) due to insufficient deposits, record of payment after dishonor of a check, refusal to transaction or other loss of credits of the securities firms.
  3. Any material effect on company finances or business resulting from any litigious or non-litigious matter, administrative disposition, contentious administrative proceedings, provisional attachment, provisional injunction, or compulsory execution, with respect to business atctivities engaged in by a securities firm or carried out by an associate person thereof; or a chairperson or managerial officer of the securities firm violating the Securities and Exchange Act, Futures Trading Act, Company Act, Banking Act, Insurance Act, Act Governing Bills Finance Business, Financial Holding Company Act, or Commercial Accounting Act, or being indicted for a crime of corruption, malfeasance in office, fraud, breach of trust or misappropriation.
  4. Material investor litigation(s) or dispute(s) arsing from issuance of ETNs of the securities firm.
  5. Any of the events stipulated in Article 185 paragraph 1 Company Act of the securities firms.
  6. Reorganization or bankruptcy procedure of the securities firm, and any and all events occurring in the course of such procedure, including any petition made to a court and any notice given or ruling handed down by a court, or any ruling prohibiting transfer of shares or any precautionary measure ordered by a court under relevant laws, or any material change in any of the above matters.
  7. Change in chairman, general manager, a juristic-person director or supervisor or representative thereof or one-third or more of directors or supervisiors of the securities frim.
  8. Change of certified public accountant (CPA) due to reasons other than internal adjustments within the certifying accounting firm of the securities firm.
  9. A resolution made by the board of directors of the securities firm to suspend or resume its business.
  10. A resolution made by the board of directors of the securities firm to carry out dissolution, merger or consolidation, split-up, acquisition or exchange or conversion of shares or transfer of shares from another; or failure of board of directors or shareholders meeting of a company participating in the merger, consolidation, division, acquisition, or transfer of shares from another to convene on the same day and make resolution(s), or inability of a company participating in the merger, consolidation, spilt-up, acquisition, or transfer of shares from another to convene a subsequent shareholders meeting, or veto by either side on the proposal for merger, consolidation, split-up, acquisition, or transfer of shares from another; or resolution of the board of directors to cancel a merger or consolidation during the course of the merger or consolidation plan following the initial board resolution in favor of the merger or consolidation.
  11. Any material internal control fraud, non arms-length transaction or defalcation of assets of the securities firm.
  12. Any material financial of business change of the securities firm resulting in significant effect on issuance plan of the ETNs.
  13. Occurrence of the events stipulated in subparagraphs 1 to 11 of this Article to a branch of the securities firm that results in significant effect on its business operation.
  14. Suspension of provision of the underlying index or termination of the index liscencing agreement by the producing institution.
  15. Material matters happening to the underlying index of the ETNs resulting in significant effect on investors.
  16. Occurrence of early redemption, temporary suspension or resumption of application for suscription and cessation thereof to the ETNs as provided in the prospectus.
  17. Matters relating to dividend distribution of the ETNs.
  18. Change in the filing documents of the ETNs that results in material effect on issuance plan.
  19. Effective registration of the ETNs being revoked or annulled by the competent authority.
  20. Any other events that affect the securities firm’s ability to continue business operation or significantly affect rights and interests of investors of the ETNs.