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Article NO. Content

Title:

Taiwan Stock Exchange Corporation's ("TWSE") Rules Governing the Reporting of Basic Information of Advisory Client Companies by Securities Underwriters  CH

Amended Date: 2011.11.09 
Categories: Primary Market > Review
Article 2     A securities underwriter advising a public company on a stock listing application or a foreign issuer on an application for primary listing of stock shall, on the date of signing the "Stock Listing Advisory Agreement" ("Agreement") with the advisory client company, report the "particulars of the advisory client company" (See Attachment, hereinafter "Particulars") to the TWSE via the Internet. For any change of information, the securities underwriter shall update the relevant information in the Particulars on the date of occurrence of the fact, until the stocks are registered as "Emerging Stocks".
    A securities underwriter advising a public company on an application for stock listing shall, from three months prior to the listing and before the 10th day of each month, file with the TWSE via the Internet a "Material Financial and Business Incidents Checklist" of the preceding month until it submits the stock listing application to the TWSE.
    A securities underwriter advising a foreign issuer on an application for primary listing of stock shall, before the 10th day of each month, file with the TWSE via the Internet a "Record of Advising Foreign Issuers on Primary Listing of Stock" and the contents and progress of advice of the preceding month, until it submits the stock listing application to the TWSE. In addition, the securities underwriter shall, via the Internet, report the qualifications of personnel advising foreign issuers on applications for primary listing, and shall update the information immediately in the event of any change to personnel or data.