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Title:

Regulations Governing Stock Exchanges  CH

Amended Date: 2012.07.11 
   Chapter II Permission or Special Approval for Establishment
      Section II A Company Type Stock Exchange
Article 11    A company type stock exchange shall be a company limited by shares incorporated via promotion.
Article 12    The minimum paid-in capital of a company type stock exchange shall be NT$500 million.
Article 13    To incorporate a company type stock exchange, all its shareholders shall prepare the following documents, each in three copies, and file with the FSC for approval:
  1. Application form.
  2. Articles of incorporation and operating rules.
  3. List of shareholders.
  4. A statement indicating the conditions of business premises and facilities.
  5. List of directors and supervisors and photocopies of their identification cards.
  6. Director and supervisor registration form and a written statement declaring that they are free of the conditions prohibited in Article 53, subparagraphs 1 to 4 and subparagraph 6 of the Act.
  7. Documentary proof of full payment for shares to the designated bank account.
  8. Business forecast report of the first year.
  9. Financial and audit reports certified by certified public accountants.
  10. Minutes of the promoters' meeting.
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Article 14    The articles of incorporation of a company type stock exchange shall comply with the provisions of the Company Act, and shall also contain the following particulars:
  1. Matters regarding the provisions of Article 125, paragraph 2 of Article 126, Article 128, and Article 170 of the Act.
  2. Matters prescribed in Article 32 of these Regulations.
  3. Accounting matters.
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Article 15    A company type stock exchange shall, after receiving the notice of approval issued by the FSC, file for incorporation registration in accordance with the Company Act.
Article 16    A company type stock exchange shall, enclosing a photocopy of the license and a photocopy of payment receipt of the operation bond, file with the FSC for a permit certificate within 15 days after receiving the company license. For those who fail to file with the FSC within the deadline, the original permission shall be deemed void. However, the stock exchange, with legitimate reasons, may apply to the FSC for an extension.
Article 17    A company type stock exchange shall be governed mutatis mutandis by the provisions of Article 7 and Article 10 of these Regulations.
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