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Article NO. Content

Title:

Taiwan Stock Exchange Corporation Directions for Lead Securities Underwriters Mandated to Assist Primary Listed Companies in Complying with ROC Laws and Regulations and the Taiwan Stock Exchange Corporation Rules Related to TWSE Listing  CH

Amended Date: 2014.10.27 
Categories: Primary Market > Management > Primary Listings
2     A lead securities underwriter assisting a TWSE primary listed company in complying with ROC laws and regulations shall perform the following duties:
  1. Provide relevant suggestions in a timely manner to assist the TWSE primary listed company in complying with ROC securities-related laws and regulations and the TWSE rules, bylaws, public announcements, and listing contract.
  2. When the TWSE conducts reviews of financial reports, analysis and management of material events, and other supervisory procedures concerning the TWSE primary listed company, the lead securities underwriter shall fully comply with requests by the TWSE in conducting relevant operations.
  3. Assist the TWSE primary listed company in giving relevant explanations to the TWSE.
  4. Ensure that the TWSE primary listed company performs its undertakings made to the TWSE at the time it became listed on the TWSE. If it is discovered that the TWSE primary listed company has failed to fulfill any undertaking, the lead securities underwriter shall immediately notify the TWSE.
  5. Assist the directors, supervisors, general manager, spokesperson, deputy spokesperson, financial officer, accounting officer, research and development officer, and internal audit officer of the TWSE primary listed company to understand relevant legal liabilities.
  6. Collect information that has a material effect on the shareholders equity or securities price of the TWSE primary listed company from mass media coverage at the places where the company has its major operations, and assist the company in publicly disclosing relevant material information. If it is discovered that the TWSE primary listed company is unable to make a timely disclosure of material information, the lead securities underwriter shall immediately notify the TWSE.