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Article NO. Content

Title:

Regulations Governing the Offering and Issuance of Securities by Securities Issuers  CH

Amended Date: 2021.03.29 
Article 11-1     The FSC may engage the Taiwan Stock Exchange or Taipei Exchange to handle cases of the following kinds:
  1. Case in which an exchange-listed or OTC-listed company files for registration of issuance of new shares in connection with a merger, or issuance of new shares in connection with receiving transfer of shares of another company, or issuance of new shares in connection with an acquisition or demerger conducted in accordance with related laws, or the retroactive handling of public issuance procedures for privately placed securities, or capital reduction.
  2. Cases in which an issuer files to issue shares for cash capital increase for the purpose of public sale in connection with an initial listing on the stock exchange or OTC market.
  3. Cases in which an issuer files for an initial public offering (including cases in which a filing is concurrently made for both issuance of new shares for cash capital increase and issuance of new shares as stock dividends).
    When an issuer files for registration of an issue of straight corporate bonds in accordance with Article 21 or 22, the FSC may engage the TPEx to handle the case.
    When the Taiwan Stock Exchange or Taipei Exchange is engaged by the FSC to handle a case under the preceding two paragraphs, if, after effective registration, any circumstance is discovered under which the effective registration is voidable or revocable under these Regulations, the FSC may order the engaged institution to void or revoke the effective registration.