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Article NO. Content


Guidelines for Public Subscription and Private Placement of Securities  CH

Amended Date: 2003.05.06 
Categories: Market Supervision > Regulation of Securities Firms
4     The Taiwan Stock Exchange Corporation may dispatch personnel to investigate the handling of subscriptions and private placements of securities by underwriters and brokers. Underwriters and brokers may not refuse or evade such investigation. If violations of relevant regulations are found, matters pertaining to the company will be handled in accordance with Article 143 of the "Operating Rules of the Taiwan Stock Exchange Corporation" and matters pertaining to employees will be handled in accordance with Article 144 of the same Rules.