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Laws

Title:

Taiwan Stock Exchange Corporation Assessment and Auditing Procedures for Securities Underwriter Handling Initial Listing Applications  CH

Announced Date: 1911.00.00
Amended Date: 2021.03.31 (Articles 1, 4, 5, 6, 9, 10 amended,English version coming soon)
Current English version amended on 2020.03.02 
Categories: Primary Market > Review
Content Article In Change35. Articles 6, 9 and 11-1 amended per 2 March 2 2020 Public Announcement Taiwan-Stock-Listing-I-1090003199 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved for recordation per 26 February 26 2020 Letter No. Financial-Supervisory-Securities-Corporate-1080140352 of the Financial Supervisory Commission
Content Article In Change 34. Points 4 and 6 amended per 31 March 2018 Public Announcement No. Taiwan-Stock-Listing-I-1071801296 of the Taiwan Stock Exchange Corporation; for immediate implementation.
Approved for recordation per 23 March 2018 Letter No. Financial-Supervisory-Securities-Corporate-1070105524 of the Financial Supervisory Commission.
Content Article In Change 33. Point 5 amended per 12 December 2017 Public Announcement No. Taiwan-Stock-Listing-I-1060023522 of the Taiwan Stock Exchange Corporation; for implementation from Fiscal Year 2018.
Approved for recordation per 8 December 2017 Letter No. Financial-Supervisory-Securities-Corporate-1060047839 of the Financial Supervisory Commission.
Content Article In Change 32. Points 4, 8 and 9 amended per 11 August 2017 Public Announcement No. Taiwan-Stock-Listing-I-1061803747 of the Taiwan Stock Exchange Corporation; for implementation from 1 January 2018.
Approved for recordation per 10 August 2017 Letter No. Financial-Supervisory-Securities-Corporate-1060025120 of the Financial Supervisory Commission.
Content Article In Change 31. Point 3, 4 and 6 amended per 16 October 2014 Letter No. Taiwan-Stock-Listing-II-1030021419 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 14 October 2014 Letter No. Financial-Supervisory-Securities-Corporate-1030039394 of the Financial Supervisory Commission.
30. Point 6 amended per 2 October 2014 Letter No. Taiwan-Stock-Listing-II-1030020042 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 26 September 2014 Letter No. Financial-Supervisory-Securities-Corporate-1030035659 of the Financial Supervisory Commission.
29. Point 3 amended per 18 March 2014 Letter No. Taiwan-Stock-Listing-I-1030004757 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 14 March 2014 Letter No. Financial-Supervisory-Securities-Corporate-1030006972 of the Financial Supervisory Commission, Executive Yuan.
28. Point 6 amended per 30 December 2013 Letter No. Taiwan-Stock-Listing-I-1020027155 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 26 December 2013 Letter No. Financial-Supervisory-Securities-Corporate-1020050484 of the Financial Supervisory Commission, Executive Yuan.
27. Points 2, 4-6, 10 and 13 amended per 23 January 2013 Letter No. Taiwan-Stock-Listing-I-1020001320 of the Taiwan Stock Exchange Corporation; for implementation from the fiscal year of 2013.
Approved for recordation per 18 January 2013 Letter No. Financial-Supervisory-Securities-Corporate-1010056937 of the Financial Supervisory Commission, Executive Yuan.
26. Point 6 amended per 19 June 2012 Letter No. Taiwan-Stock-Listing-II-1010013285 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 15 June 2012 Letter No. Financial-Supervisory-Securities-Corporate-1010027190 of the Financial Supervisory Commission, Executive Yuan.
25. Point 9 amended per 8 February 2012 Letter No. Taiwan-Stock-Listing-II-1010002346 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 3 February 2012 Letter No. Financial-Supervisory-Securities-Corporate-1010001991 of the Financial Supervisory Commission, Executive Yuan.
24. Point 10 amended per 20 January 2012 Letter No. Taiwan-Stock-Listing-II-1010001615 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 19 January 2012 Letter No. Financial-Supervisory-Securities-Corporate-1010000218 of the Financial Supervisory Commission, Executive Yuan.
23. Point 6 amended per 9 December 2011 Letter No. Taiwan-Stock-Listing-II-1000038488 of the Taiwan Stock Exchange Corporation; for implementation from 1 January 2012.
Approved for recordation per 6 December 2011 Letter No. Financial-Supervisory-Securities-Corporate-1000052371 of the Financial Supervisory Commission, Executive Yuan.
22. Point 11-1 added per 18 March 2010 Letter No. Taiwan-Stock-Listing-0990006895 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 16 March 2010 Letter No. Financial-Supervisory-Securities-Corporate-0990009289 of the Financial Supervisory Commission, Executive Yuan.
21. Points 3, 8 and 9 amended per 14 May 2009 Letter No. Taiwan-Stock-Listing-0980009902 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 11 May 2010 Letter No. Financial-Supervisory-Securities-I-0980015653 of the Financial Supervisory Commission, Executive Yuan.
20. Full text of 14 points amended per 30 October 2008 Letter No. Taiwan-Stock-Listing-0970031753 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 24 October 2008 Letter No. Financial-Supervisory-Securities-I-0970050859 of the Financial Supervisory Commission, Executive Yuan.
19. Point 6 amended per 2 April 2007 Letter No. Taiwan-Stock-Listing-0960007517 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 28 March 2007 Letter No. Financial-Supervisory-Securities-I-0960012238 of the Financial Supervisory Commission, Executive Yuan.
18. Point 7 added and the original Points 7-12 changed to Points 8-13 per 19 March 2007 Letter No. Taiwan-Stock-Listing-0960005558 of the Taiwan Stock Exchange Corporation; for implementation from 1 January 2007.
Approved for recordation per 9 March 2007 Letter No. Financial-Supervisory-Securities-I-0960007095 of the Financial Supervisory Commission, Executive Yuan.
17. Point 8 amended per 27 September 2006 Letter No. Taiwan-Stock-Listing-0950103919 of the Taiwan Stock Exchange Corporation; for implementation from 1 January 2007.
Approved for recordation per 7 September 2006 Letter No. Financial-Supervisory-Securities-I-0950004311 of the Financial Supervisory Commission, Executive Yuan.
16. Point 3 amended per 6 July 2006 Letter No. Taiwan-Stock-Listing-0950015433 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 30 June 2006 Letter No. Financial-Supervisory-Securities-I-0950123824 of the Financial Supervisory Commission, Executive Yuan.
15. Points 3-9 and 11 amended per 2 September 2005 Letter No. Taiwan-Stock-Listing-0940023573 of the Taiwan Stock Exchange Corporation; for implementation from 1 January 2005.
Approved for recordation per 12 August 2005 Letter No. Financial-Supervisory-Securities-I-0940113311 of the Financial Supervisory Commission, Executive Yuan.
14. Full text of 12 points amended per 13 December 2004 Letter No. Taiwan-Stock-Listing-0930032147 of the Taiwan Stock Exchange Corporation; for implementation from 1 January 2005.
Approved for recordation per 6 December 2004 Letter No. Financial-Supervisory-Securities-I-0930154780 of the Financial Supervisory Commission, Executive Yuan.
13. Point 6 amended per 31 December 2003 Letter No. Taiwan-Stock-Listing-0920032651 of the Taiwan Stock Exchange Corporation; for implementation from 1 January 2004.
Approved for recordation per 30 December 2003 Letter No. Taiwan-Financial-Securities-I-0920161269 of the Securities and Futures Commission, Ministry of Finance.
12. Point 9 amended per 9 May 2003 Letter No. Taiwan-Stock-Listing-0920009278 of the Taiwan Stock Exchange Corporation.
Approved for recordation per 30 April 2003 Letter No. Taiwan-Financial-Securities-I-0920111197 of the Securities and Futures Commission, Ministry of Finance.
11. Point 6 amended per 4 April 2003 Letter No. Taiwan-Stock-Listing-0920006215 of the Taiwan Stock Exchange Corporation.
Approved for recordation per 26 March 2003 Letter No. Taiwan-Financial-Securities-VI-0920106221 of the Securities and Futures Commission, Ministry of Finance.
10. Point 8 amended per 30 January 2003 Letter No. Taiwan-Stock-Listing-0920001649 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 20 January 2003 Letter No. Taiwan-Financial-Securities-I-0910169068 of the Securities and Futures Commission, Ministry of Finance.
9. Point 11 amended per 9 September 2002 Letter No. 91-Taiwan-Stock-Listing-022318 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 30 August 2002 Letter No. Taiwan-Financial-Securities-I-0910145979 of the Securities and Futures Commission of the Ministry of Finance.
8. Points 6 and 8 amended per 5 July 2002 Letter No. 91-Taiwan-Stock-Secretariat- 016030 of the Taiwan Stock Exchange Corporation.
Approved for recordation per 2 July 2002 Letter No. 91-Taiwan-Financial-Securities-III-0910136744 of the Securities and Futures Commission, Ministry of Finance.
7. Point 12 amended per 6 June 2002 Letter No. 91-Taiwan-Stock-Listing-012126 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 24 May 2002 Letter No. 91-Taiwan-Financial-Securities-I-126839 of the Securities and Futures Commission, Ministry of Finance.
6. Point 6, Paragraph 7 amended per 29 May 2001 Letter No. 90-Taiwan-Stock-Listing-012914 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 23 May 2001 Letter No. 90-Taiwan-Financial-Securities-I-121246 of the Securities and Futures Commission, Ministry of Finance.
5. Point 8 amended per 5 January 2000 Letter No. 89-Taiwan-Stock-Listing- 041353 of the Taiwan Stock Exchange Corporation.
Approved for recordation per 29 December 1999 Letter No. 88-Taiwan-Financial-Securities-I-107287 of the Securities and Futures Commission, Ministry of Finance.
4. Point 2 amended per 8 June 1999 Letter No. 88-Taiwan-Stock-Listing-16376 of the Taiwan Stock Exchange Corporation.
3. Points 5 and 7 amended per 23 February 1999 Letter No. 88-Taiwan-Stock-Listing-04238 of the Taiwan Stock Exchange Corporation.
Approved for recordation per 9 February 1999 Letter No. 88-Taiwan-Financial-Securities-I-14353 of the Securities and Futures Commission, Ministry of Finance.
2. Amended per 2 November 1998 Letter No. 87-Taiwan-Stock-Listing-36761 of the Taiwan Stock Exchange Corporation.
Approved for recordation per 6 October 1998 Letter No. 87-Taiwan-Financial-Securities-I-77838 of the Securities and Futures Commission, Ministry of Finance.
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