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Article NO. Content

Title:

Taiwan Stock Exchange Corporation Matters for Joint Compliance by Securities Listing Review Committee Members  CH

Amended Date: 2019.12.23 
Categories: Primary Market > Review
3     No reviewers may engage in any of the following activities during their incumbency:
  1. agree to, accept or purchase with an agreed price in any name the securities of the applicant company;
  2. agree to, demand or accept money or other undue enrichment from the applicant company, its securities underwriter, CPA or lawyers issuing legal opinions;
  3. accept invitations to meals or entertainment events from the applicant company, its securities underwriter, CPA or lawyers issuing legal opinions;
  4. 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;
  5. unduly profit themselves or others by directly or indirectly taking advantage of review of applications;
  6. provide services or issue any expert opinion to the applicant company.