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Article NO. Content

Title:

Procedures for Review of Listing of Exchange Traded Notes  CH

Announced Date: 2018.09.10 
Categories: Primary Market > Review
Article 6     After accepting an application for listing at the Taiwan Stock Exchange or Taipei Exchange, the responsible staff of the TWSE shall check if its "Application for listing of ETNs at the Taiwan Stock Exchange or Taipei Exchange" is properly completed and if all the required documents have been submitted, and perform the review of the application form and enclosed documents. Below is the information about the review procedure, key issues for review, and deadline to complete the review.
  1. Check documents submitted against the list of enclosures to the application form to see if all listed documents have been provided. If it is found not all documents are submitted, specify a certain period of time for submitting the missing documents. If the applicant fails to provide the requested documents, the TWSE may reject its application and notify the competent authority of the rejection for recordation.
  2. Key issues to be examined during document reviews: Review that if the particulars and information contained in the application form and enclosed documents are complete, if the prospectus and summary prospectus contain the most updated information, if they have been uploaded to the Market Observation Post System (MOPS), and if the application complied with the requirements under Article 12 of the Review Rules.
  3. Deadline: A securities firm shall contact the TWSE for matters relating to listing and trading not later than three business days before the date when trading of ETNs is scheduled to start. The scheduled first trading day shall not be later than 10 business days after the date of communication. After the responsible staff's review indicates the requirements have been met, an approval letter of listing will be sent, and a public announcement regarding the listing will be made two business days prior to the first trading date.