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Article NO. Content


Regulations Governing the Issuance of Exchange Traded Notes by Securities Firms  CH

Announced Date: 2018.06.28 
Article 6     To issue or reopen ETNs, a securities firm shall submit the following documents to the TWSE or TPEx for review, to be then forwarded, together with the TWSE's or TPEx's review opinion and letter of approval for TWSE/TPEx listing, to the competent authority for filing for registration:
  1. A registration statement.
  2. An issuance plan.
  3. Minutes of the relevant board of directors meeting.
  4. A prospectus and a simplified prospectus.
  5. Documentary proof that the underlying index meets the requirements of Article 2, paragraph 3.
  6. Documentary proof that the securities firm meets the qualifying requirements for the issuance of ETNs as set out in Article 4, paragraph 1, subparagraphs 2, 3, and 8.
  7. Documentary proof that the securities firm meets the requirements of paragraph 2 of the preceding article.
  8. A statement of information on the current status of the ETNs (applicable only in the case of a reopening of ETNs).
  9. Other documents to be submitted in accordance with the requirements of the competent authority.