Chapter III Supplementary Provisions |
| 13 | If the applicant for listing of shares is an investment holding company or financial holding company, the underwriter shall perform assessment of the nature of the business activities engaged in by companies controlled by the holding company or its subsidiaries according to Articles 4, 5, 6, 8, 9, 11 and 12 and issue review opinions on individual controlled companies or subsidiaries before compiling a consolidated general opinion based on these separate opinions.
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| 13-1 | If the applicant for primary stock listing is an overseas subsidiary of a local TWSE/TPEx-listed company, the underwriter shall assess the legality of the policy-making procedure of the local TWSE/TPEx-listed company, whether the listing of shares may have a major adverse impact on its operation and financial position, and the proposed action plans.
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| 14 | The assessment report shall be jointly reviewed, produced and signed by the lead securities underwriter and joint underwriter(s).
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| 15 | These Guidelines shall take effect after having been submitted to and approved by the competent authority and publicly announced. Subsequent amendments thereto shall be effected in the same manner. The attachments to these Guidelines shall take effect after having been submitted to and approved by the president. Subsequent amendments thereto shall be effected in the same manner.
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