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Listing Contract for Beneficial Certificates  CH

Amended Date: 2014.08.08 
Categories: Primary Market > Listing Contracts
1       According to matters set forth in the Taiwan Stock Exchange Corporation ("TWSE") Rules Governing Listing Contracts for Securities, pursuant to Article 141 of the Securities and Exchange Act ("Act"), this Contract is made by and between ______________ Co., Ltd. (the "□SITE□FTE") and the TWSE regarding the application made by the □SITE□FTE to the TWSE for listing of the close-end securities investment trust funds, exchange traded securities investment trust funds or beneficiary certificate of exchange traded futures trust funds approved for public offering and issue pursuant to Article 139 of the Act. Therefore, the parties hereto agree as follows:

Article 1
    The securities investment trust fund in the application made by the SITE (FTE) according to this Contract for initial public offering include:

    Close-end securities investment trust fund
│Name of   │Date of │Unit of │Unit  │Total Dollar│Notes │
│Close-end │Issue   │Issuance│Amount│Amount (NTD)│      │
│Securities│        │(Shares)│(NTD) │            │      │
│Investment│        │        │      │            │      │
│Trust Fund│        │        │      │            │      │
│          │        │        │      │            │      │
    Exchange traded securities investment trust fund
│Name of Exchange  │Date of │Minimum Net │Notes │
│Traded Securities │Issue   │Asset Value │      │
│Investment Trust  │        │(NTD)       │      │
│Fund              │        │            │      │
│                  │        │            │      │
    Exchange traded futures trust fund
│Name of Exchange  │Date of │Minimum Net │Notes │
│Traded securities │Issue   │Asset Value │      │
│Futures Trust Fund│        │(NTD)       │      │
│                  │        │            │      │
    In the event of any amendment or addition to the beneficiary certificates listed, the content of amendment, addition or deletion to the beneficiary certificates stated in the Application for Listing of Beneficiary Certificates or in the Application for Change of Contents for Listing of Beneficiary Certificates, as approved by the TWSE, shall constitute an integral part of this Contract.

Article 2
    Both the SITE (FTE) and the TWSE shall comply with the applicable laws and regulations and the rules and public notices of the TWSE.
Article 3
    Upon this Contract taking effect, the SITE (FTE) shall pay a listing fee of the beneficiary certificates to the TWSE upon their initial listing and within January of each year thereafter, pursuant to the listing fee schedule for beneficiary certificates set forth in the TWSE Securities Listing Fee Schedule established by the TWSE.
Article 4
    This Contract is executed in five counterparts, one of which shall be delivered to the competent authority and each of the rest to the SITE (FTE) and TWSE.
Article 5
    This Contract shall be submitted to the competent authority for acknowledgment and reference.

    Securities Investment Trust Companies (Futures Trust Companies):
    Taiwan Stock Exchange Corporation

    [Month] [Day], [Year]