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Article NO. Content

Title:

Taiwan Stock Exchange Corporation Rules Governing Review of Listing of Exchange Traded Notes  CH

Announced Date: 2018.09.10 
Categories: Primary Market > Review
Article 4     Before applying for issuance of ETNs, a securities firm shall receive an approval letter for acceptance of qualifications of the underlying indexes of the ETNs. When applying for determination of qualifications of the underlying indexes of the ETNs, the securities firm shall submit the application form for acceptance of qualifications of underlying indexes of ETNs, stating the particulars to be specified, and the enclosed documents to the TWSE. The TWSE will review the application in accordance with the Issuance Regulations, these Rules, the TWSE Procedures for Review of Listing of Exchange Traded Notes, and the TWSE's other applicable regulations. If the TWSE accepts the application after the review, it will issue an approval letter for acceptance of qualifications of the underlying index, with a copy to the competent authority.
    A securities firm that is in the circumstances provided in Article 20 or 21 or is otherwise prohibited by the TWSE from applying for listing of its ETNs shall not file an application for determination of qualification of the underlying indexes of the ETNs to the TWSE during the restriction period.
    The Procedures for Review of Listing of Exchange Traded Notes will be established by the TWSE and come into force after being approved by the competent authority for recordation.