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Article NO. Content


Exchange Traded Notes Prospectus and Simplified Prospectus Template  CH

Amended Date: 2022.09.27 
Categories: Primary Market > Review
Article 10     The following information should be covered in the summary description of the securities firm:
  1. Date of establishment.
  2. Address and telephone number of head office and branch.
  3. For general manager, deputy general manager, director, supervisor and department head: List their names, indicate their concurrent job position at a different company, if any, and start date.
  4. Major business activities the company engages in and their percentage to the whole business.
  5. Major pending litigation, non-litigation or administrative action of the company, about which fact in dispute, when the action started, major parties to the action, and current status of the case should be disclosed.
  6. Condensed balance sheet and consolidated profit-and-loss statement for the most recent two years.
  7. Financial analysis should cover at least the following information:
    1. Financial structure
      1. Debt to asset ratio.
      2. Ratio of long-term funds to real estate and equipment.
    2. Solvency.
      1. Current ratio.
      2. Quick ratio.
      3. Interest coverage ratio.
    3. Cash flow.
      1. Cash flow ratio.
      2. Cash flow adequacy ratio.
      3. Cash re-investment ratio.
  8. Information about financial instruments in use not disclosed in balance sheet and other necessary information.