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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
6     A lead securities underwriter and a succeeding securities underwriter shall, during the period when they are mandated by a TWSE primary listed company to assist in legal compliance, retain relevant documents, working papers, or data in connection with the assistance process. The TWSE may requisition and review these when necessary.
    If a securities underwriter violates these Directions, the TWSE may requisition and review documents, working papers, or data referred to in the preceding paragraph, and may, pursuant to the TWSE Regulations for Handling Deficiencies in an Evaluation Report or Other Related Information Submitted by a Securities Underwriter, issue a demerit or refuse for a certain time period to accept assessment reports produced by that securities underwriter.