Taiwan Stock Exchange - Rules & Regulations Directory

Article NO. Content

Title:

Taiwan Stock Exchange Corporation Undertaking for Centralized Custody of Stock 

Amended Date: 2017.09.15 
Categories: Securities Exchange Market > Clearing and Settlement
1
┌──────────────────────────────┐
│Undertaking                                                 │
│                                                            │
│To: Taiwan Stock Exchange Corporation                       │
│                                                            │
│According to the Taiwan Stock Exchange Corporation Rules for│
│Review of Securities Listings, centralized custody is       │
│required of the stock we are applying for listing. The      │
│company and I hereby guarantee to complete the centralized  │
│custody of stock within the time limit prescribed by the    │
│applicable regulations. After listing of stock is approved, │
│if during the period after centralized custody of stock is  │
│completed according to the regulations and before expiry of │
│the period of custody a certain number of the shares of the │
│persons placing the shares in centralized custody are       │
│withdrawn from the custody of the depository due to an      │
│enforcement order of the court or other reasons, we         │
│guarantee that we together with other persons placing the   │
│shares in centralized custody shall be jointly and severally│
│liable for replenishing such number of shares equal to the  │
│number of shares that have been withdrawn, or coordinate    │
│with other shareholders the replenishment, within the time  │
│limit specified in the TWSE's written notice; in the case of│
│a delay, we agree to take action as required by the relevant│
│regulations of the TWSE.                                    │
│                                                            │
│                                                            │
│                                                            │
│Applicant:                                                  │
│                                                            │
│Responsible Person:                                         │
│                                                            │
│Director:                                                   │
│                                                            │
│(Applicable from 2018)                                      │
│                                                            │
│President: (for high tech stocks)                           │
│                                                            │
│Research and Development Director: (for high tech stocks)   │
│                                                            │
│Shareholders holding 10% or more of the shares:             │
│                                                            │
│Shareholders holding 5% or more of the shares (for high tech│
│stocks or stocks of cultural and creative enterprises):     │
│                                                            │
│Shareholders contributing patents or know-how as capital    │
│(for high tech stocks or stocks of cultural and creative    │
│enterprises):                                               │
│                                                            │
│                                                            │
│                                                            │
│Date:                                                       │
└──────────────────────────────┘
Data Source:Taiwan Stock Exchange - Rules & Regulations Directory
twse-regulation.twse.com.tw