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Taiwan Stock Exchange Corporation Regulations for Handling Deficiencies in Evaluation Reports or Other Related Information Submitted by a Securities Underwriter(2014.10.27) |
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Article 3
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The assessment reports or other relevant information submitted by securities underwriters shall conform to the Rules Governing the Reporting of Basic Information of Advisory Client Companies by Securities Underwriters, Directions for the Particulars to be Recorded in the Securities Underwriters' Assessment Reports for Initial Stock Listing, and other applicable regulations promulgated by the TWSE.
The assessment reports or other relevant information submitted by securities underwriters according to Chapter IV-1 of the Operating Rules of the TWSE, are governed by the preceding paragraph mutatis mutandis and, in addition, may also be governed by the applicable provisions of these Guidelines.
When accepting the appointment by a primary listing company to assist it with compliance with relevant R.O.C. securities laws and regulations, the Articles of Incorporation and the Operating Rules of the TWSE, and regulations for public announcement and listing contract, the lead securities underwriter shall act in accordance with the TWSE Rules Governing Review of Securities Listings (hereinafter the "Review Rules"),the TWSE Rules for Regulating Primary Listed Foreign Issuers (hereinafter the "Primary Listing Rules"), the TWSE Directions for Lead Securities Underwriters Mandated to Assist Primary Listed Companies in Complying with R.O.C. Laws and Regulations and the Taiwan Stock Exchange Corporation Rules Related to TWSE Listing (hereinafter the "Directions"), and other applicable regulations, and is governed by the requirements of these Guidelines.
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Article 5
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If, during the existence of the contract under which it is appointed by a primary listing company to provide assistance with compliance with relevant R.O.C. securities laws and regulations, the Articles of Incorporation and the Operating Rules of the TWSE, and regulations for public announcement and listing contract, the lead securities underwriter violates the TWSE Review Rules, Primary Listing Rules, Directions and other relevant regulations, the TWSE may impose three to ten demerit points on it depending on the seriousness of the violation.
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