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Article NO. Content

Title:

Taiwan Stock Exchange Corporation Rules Governing Trading of Exchange Traded Notes  CH

Amended Date: 2018.12.24 
Categories: Securities Exchange Market > Trading > Other Securities
Article 4     When trading ETNs, a customer shall sign a risk disclosure statement before a securities firm may accept an order.
    A risk disclosure statement may not be needed for professional institutional investor as defined in the Regulations Governing Offshore Structured Products, private placement securities investment trust fund managed by securities investment trust enterprise, futures trust funds offered to buyers meeting certain qualifications by futures trust enterprise, and discretionary investment accounts managed by securities investment consulting enterprise or securities broker who is also a securities investment consulting enterprise, and discretionary investment accounts managed by managed futures enterprise.
    The TWSE shall separately determine the particulars to be included in the risk disclosure statement in the first paragraph.