| Title： |
Taiwan Stock Exchange Corporation Matters for Joint Compliance by Securities Listing Review Committee Members(2019.12.23) |
| Date： |
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3
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No reviewers may engage in any of the following activities during their incumbency:
- agree to, accept or purchase with an agreed price in any name the securities of the applicant company;
- agree to, demand or accept money or other undue enrichment from the applicant company, its securities underwriter, CPA or lawyers issuing legal opinions;
- accept invitations to meals or entertainment events from the applicant company, its securities underwriter, CPA or lawyers issuing legal opinions;
- engage in activities relating to loans or securities or act as intermediary for loans or securities not as part of regular business practice with the applicant company;
- unduly profit themselves or others by directly or indirectly taking advantage of review of applications;
- provide services or issue any expert opinion to the applicant company.
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5
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Where it is necessary for the applicant company, its securities underwriter, CPA or lawyers issuing legal opinions to provide more details about the application, it or they may only do so at the TWSE or in a meeting of the Securities Listing Review Committee held by the TWSE. Aside from the above situations, all reviewers shall refrain from accepting, either directly or indirectly, explanations or requests from any such party.
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