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Article 3
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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 TWSE will request them as needed for review purposes. After the administering department has ascertained that all required documents are included, the application shall be submitted through the general receiving and dispatch office of the TWSE for signed acceptance, after which it will be assigned a serial number and delegated to the appropriate case handler of the administering department for the respective reviews pursuant to procedural order.
Companies applying for securities listing pursuant to Article 5 of the TWSE's Regulations for Review of Securities Listings may not file its application for securities listing until it has received the assessment opinion of the central competent authority in charge of the respective industry by following the procedure as described in one of the subparagraphs below:
- File an application with the TWSE in conformity with the laws and regulations adopted by the central competent authority in charge of the respective industry. At the same time, the applicant company shall pay to the TWSE the assessment fee payable to the central competent authority in charge of the respective industry and file a copy of the application and supporting documents with the central competent authority in charge of the respective industry. After receiving the documents, the administering department shall submit a written request for an opinion to the central competent authority in charge of the respective industry. After having obtained the assessment opinion, indicating an approval, of the central competent authority in charge of the respective industry in a letter, the TWSE has notified the applicant company of the opinion.
- Have obtained the assessment opinion of the central competent authority in charge of the respective industry in accordance with Article 3, paragraph 2 of the Taipei Exchange Procedures for Review of Securities Listings.
An applicant company shall file its application within 1 year from the date of the assessment opinion granted by the central competent authority in charge of the respective industry as in the preceding paragraph. An applicant company that fails to file an application within this period shall re-apply to the TWSE for an assessment opinion.
The TWSE will 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.
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