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Article 9-1
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For the offering of securities investment trust funds under Article 2, if the SITE using funds to engage in transactions related to securities products needs to apply for approval from the Competent Authority in accordance with paragraph 1, subparagraph 2 or Paragraph 2 of Article 9 of the “Regulations Governing Securities Investment Trust Funds”, the application documents for approval shall be submitted together with the registration form documents under Article 3 to TWSE. TWSE will conduct a preliminary review of the application documents for approval and submit the review opinions and application documents to the Competent Authority.
For cases requiring approval from the Competent Authority as mentioned in the preceding paragraph, if the Competent Authority notifies the SITE to provide supplemental documents, TWSE will immediately suspend the effectiveness of the offering registration. The SITE shall submit the supplemental documents to TWSE, which will then submit the review opinions and supplemental documents to the Competent Authority.
For cases requiring approval from the Competent Authority as mentioned in the paragraph 1 of the provision, if the Competent Authority does not grant approval after review, TWSE will return the case.
The provisions of paragraphs 2 to 4 of Article 6 regarding the effectiveness of the registration and removal of the order to have the registration not to take effect shall apply mutatis mutandis when the SITE handles the request to provide supplemental documents of the application for approval from the Competent Authority under paragraph 1 of the provision.
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