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Taiwan Stock Exchange Corporation's ("TWSE") Rules Governing the Reporting of Basic Information of Advisory Client Companies by Securities Underwriters(2011.11.09) |
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Article 1
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These Rules are established in accordance to Article 3 of the TWSE Procedures for Review of Securities Listings.
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Article 2
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A securities underwriter advising a public company on a stock listing application or a foreign issuer on an application for primary listing of stock shall, on the date of signing the "Stock Listing Advisory Agreement" ("Agreement") with the advisory client company, report the "particulars of the advisory client company" (See Attachment, hereinafter "Particulars") to the TWSE via the Internet. For any change of information, the securities underwriter shall update the relevant information in the Particulars on the date of occurrence of the fact, until the stocks are registered as "Emerging Stocks".
A securities underwriter advising a public company on an application for stock listing shall, from three months prior to the listing and before the 10th day of each month, file with the TWSE via the Internet a "Material Financial and Business Incidents Checklist" of the preceding month until it submits the stock listing application to the TWSE.
A securities underwriter advising a foreign issuer on an application for primary listing of stock shall, before the 10th day of each month, file with the TWSE via the Internet a "Record of Advising Foreign Issuers on Primary Listing of Stock" and the contents and progress of advice of the preceding month, until it submits the stock listing application to the TWSE. In addition, the securities underwriter shall, via the Internet, report the qualifications of personnel advising foreign issuers on applications for primary listing, and shall update the information immediately in the event of any change to personnel or data.
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Article 3
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A securities underwriter suspending or terminating the Agreement with an advisory client company shall, on the suspension or termination day, update the relevant information in the Particulars via the Internet in regard to the reasons for the suspension or termination.
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Article 4
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If the securities dealer discovers material irregularities with the financial or business operation of the advisory client company, the securities underwriter shall, via the Internet and until improvement is made, update the relevant information in the Particulars in regard to such irregularities and their impact on the financial and business operations of the advisory client company.
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Article 5
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The securities underwriter shall strictly enforce these Rules and report on time. It shall be responsible for any errors, omissions, or false or untrue representations in the relevant information. If the TWSE discovers any of the above-mentioned deficiencies, it shall request the securities underwriter to improve immediately and, subject to the actual circumstances of each case, give notice of improvement to the underwriter and further take measures in accordance with the TWSE Rules for Handling Deficiencies in the Assessment Report or Other Relevant Information Submitted by a Securities Underwriter.".
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Article 6
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These Rules shall take effect after having been submitted to and approved by the competent authority. Subsequent amendments thereto shall be effected in the same manner.
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