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Taipei Exchange Procedures for Cases for the Offering and Issuance of Securities by Domestic and Foreign Securities Issuers  CH

Amended Date: 2023.05.08 (Articles 3 amended,English version coming soon)
Current English version amended on 2022.10.14 
Article 1     These Directions are adopted pursuant to 27 October 2014 Public Announcement No. Financial-Supervisory-Securities-Corporate-10300416757, 16 November 2015 Public Announcement No. Financial-Supervisory-Securities-Corporate-10400443526, 15 April 2021 Public Announcement No. Financial-Supervisory-Securities-Corporate-11003362463, and 13 October 2022 Public Announcement No. Financial-Supervisory-Securities-Corporate-11101415944 of the Financial Supervisory Commission, Article 11-1 of the Regulations Governing the Offering and Issuance of Securities by Securities Issuers ( "Offering Regulations"), and Article 9-1 and Article 59-2 of the Regulations Governing the Offering and Issuance of Securities by Foreign Issuers ("Offering Regulations for Foreign Issuers").
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Article 2     When a domestic or foreign issuer files for registration of a case listed below, the issuer shall comply with the Offering Regulations and the Offering Regulations for Foreign Issuers.
  1. A case of initial public issuance of stock (including, in the case of a domestic issuer, a case in which a filing is concurrently made for registration of a new share issue for a capital increase or of issuance of new shares as stock dividends) or of a cash capital increase through a new share issue for public sale prior to initial listing on the Taipei Exchange (TPEx).
  2. A case of offering and issuance of straight corporate bonds.
  3. A case of a filing by a TPEx listed or TPEx primary listed company for registration of issuance of new shares in connection with a merger, or issuance of new shares in connection with receiving transfer of shares of another company, or issuance of new shares in connection with an acquisition or demerger conducted in accordance with related laws, or the retroactive handling of public issuance procedures for privately placed securities, or capital reduction.
Article 3     A domestic or foreign issuer who intends to conduct any share issue under the preceding article shall file with the TPEx the appropriate registration statement as provided in the subparagraphs below, specifying all of the required information and attaching the required documents.
  1. The forms that shall be submitted when filing for registration of cases specified in subparagraph 1 of the preceding article are those in Attachments 1 to 3 for domestic issuers and in Attachments 4 to 5 for foreign issuers.
  2. The forms that shall be submitted when filing for registration of cases specified in subparagraph 2 of the preceding article are those in Attachments 6 to 8 for domestic issuers and in Attachments 9 to 11 for foreign issuers.
  3. The forms that shall be submitted when filing for registration of cases specified in subparagraph 3 of the preceding article are those in Attachments 12 to 16 for domestic issuers and in Attachments 17 to 21 for foreign issuers.
Article 4     Under any of the following circumstances with respect to a foreign issuer, the TPEx may suspend the public issuance of the foreign issuer's stock in accordance with the Offering Regulations for Foreign Issuers:
  1. In the case of a primary TPEx listed company, the TPEx trading of its stock is terminated by the TPEx for reasons other than for purposes of listing on the TWSE.
  2. In the case of an emerging stock company, the TPEx trading of its stock is terminated by the TPEx for reasons other than for purposes of listing on the TWSE or the TPEx.
Article 5     These Directions, and any amendments hereto, shall be publicly announced and implemented after approval by the competent authority. The attachments to these Directions, and any amendments to the attachments, shall be implemented after ratification by the president of the TPEx.