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Taiwan Stock Exchange Corporation Procedures for Review of Securities Listings  CH

Amended Date: 2021.03.31 
Categories: Primary Market > Review

Title: Taiwan Stock Exchange Corporation Procedures for Review of Securities Listings(2007.03.19)
3 When applying for a listing, the issuer shall fill out an application for the listing of shares and assemble a complete set of the necessary documents listed in the attachments column; with respect to other documents to be made available for inspection, the TSEC will request them as needed for review purposes. Where the advisory period is less than nine months (including the period of emerging stock trading) the issuer shall also attach the "Evaluation of Listing Advisory Schedule Appropriateness" for reference during the review. After the TSEC management department has ascertained that all required documents are included, the application shall be submitted through the general receiving and dispatch office of the TSEC for signed acceptance, after which it will be assigned a serial number and issued to the appropriate management department for the performance of their respective reviews pursuant to procedural order.
Companies applying for securities listing pursuant to Article 5 of the TSEC's Regulations for Review of Securities Listings shall file an application with the TSEC in conformity with the Ministry of Economic Affairs Industrial Development Bureau Directions for Contracted Provision of Assessment Opinion Reports Regarding Technology Enterprises and the Successful Development and Marketability of Products. At the same time, the applicant company shall pay to the TSEC the NT$50,000 assessment fee payable to the Industrial Development Bureau and file a copy of the application and supporting documents with the Industrial Development Bureau. After receiving the documents, the management department shall submit a written request for an opinion to the Industrial Development Bureau. After the TSEC has obtained the Industrial Development Bureau's assessment opinion adopted by a resolution of the Bureau's assessment committee and has notified the applicant company of the opinion, the applicant company may file its application for securities listing.
An applicant company shall file its application within one year from the date of the assessment opinion granted by the Industrial Development Bureau of the Ministry of Economic Affairs. An applicant company that fails to file an application within this period must re-apply to the TSEC for an assessment opinion.
The TSEC shall prescribe provisions pertaining to the reporting by a lead securities underwriter, when serving as advisor for the listing of shares, of basic identifying information on the advisory client.