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Taiwan Stock Exchange Corporation Rules Governing Call (Put) Warrant Listing Contracts(2009.09.21) |
| Date： |
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Article 1
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These Rules are adopted pursuant to Article 140 of the Securities and Exchange Act.
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Article 2
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When an issuer of call (put) warrants applies for listing on the Taiwan Stock Exchange Corporation (TSEC) of call (put) warrants that it has already issued, it shall enter into a call (put) warrant listing contract with the TSEC pursuant to the provisions of these Rules.
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Article 3
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An issuer of call (put) warrants and the TSEC shall comply with applicable laws and regulations and the TSEC bylaws and public announcements.
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Article 4
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A call (put) warrant listing contract shall specify the type of call (put) warrants to be listed, date of issuance, initial conversion ratio, duration, underlying index, underlying securities or basket of securities, total number of units issued, issue price, original strike price (index), exercise period (or date), and other terms and conditions of issuance.
If the issuance plan for the listed call (put) warrants is subsequently adjusted or changed, the adjustment or change to the listed call (put) warrants already approved by the TSEC as stated in the application form for call (put) warrant listing shall also be deemed a part of the call (put) warrant listing contract.
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Article 5
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An issuer of call (put) warrants shall, after the listing contract is approved by the competent authority, pay a call (put) warrant listing fee to the TSEC at the time of initial listing, and within the first month of subsequent years according to the call (put) warrant listing rates prescribed by the TSEC.
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Article 6
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The TSEC may, pursuant to applicable laws and regulations, or the TSEC bylaws, or as it deems necessary when any other event arises that could affect the market order or the rights and interests of investors, change the trading method for the listed call (put) warrants or, following approval by the competent authority, suspend trading of or terminate the listing of the warrants, or proceed directly to announce suspension of trading of the warrants and then report to the competent authority for recordation.
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Article 7
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All disputes arising from or in connection with the call (put) warrant listing contract shall be resolved through arbitration, and the provisions on arbitration in the Securities and Exchange Act and the TSEC Operating Rules shall apply mutatis mutandis.
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Article 8
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These Rules, and any amendments hereto, shall be implemented following approval by the competent authority.
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