| Article 1 |
These Rules are adopted to ensure that recommending securities firms reliably report the relevant basic information of their advisee companies.
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| Article 2 |
When a recommending securities firm signs the TPEx Stock Listing Advisory Agreement with an advisee company, it shall on the same day report the Advisee Company Basic Information (Attachment 1) to the TPEx via Internet connection. Any time there is a change to any of the reported Basic Information, the advisee company shall update the relevant Basic Information on the date of occurrence of the fact.
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| Article 3 |
A recommending securities firm suspending or terminating the Advisory Agreement with an advisee company shall, on the day of suspension or termination, update the relevant Basic Information via Internet connection in regard to the reasons for the suspension or termination.
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| Article 4 |
If the recommending securities firm discovers any material irregularity with the finances or business operations of the advisee company, the recommending securities firm shall promptly update the relevant Basic Information via Internet connection in regard to such material irregularity and its impact on the finances and business of the advisee company, and continue to do so until the irregularity is corrected.
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| Article 5 |
If an advisee company is a foreign issuer and is not registered as an Emerging Stock company, the recommending securities firm shall file the advisory plan with the TPEx, and by the end of each month shall file with the TPEx via Internet connection the TPEx Listing Advisory Checklist (Attachment 2) for the previous month. In the event of any material irregularity in finances or business as mentioned in the preceding article, the recommending securities firm, when filing the TPEx Listing Advisory Checklist, shall furthermore clearly describe the status of subsequent follow-up and method of handling the irregularity.
The recommending securities firm of an advisee company falling under the preceding paragraph shall, before the advisee company's TPEx listing application, file at least 2 months of the Financial or Operational Material Event Checklist (Long-Form) via Internet connection and in writing in accordance with the provisions, applied mutatis mutandis, of Article 14, paragraphs 2, 4, and 5 of the TPEx Rules Governing the Review of Emerging Stocks for Trading on the TPEx, and shall continue to submit such filings on an ongoing basis until the advisee company is listed on the TPEx.
When the recommending securities firm files a Financial or Operational Material Event Checklist (Long-Form) in accordance with the preceding paragraph, the provisions of paragraph 1 shall not apply.
In the event of any change to the recommending securities firm, the original recommending securities firm shall report to the TPEx by letter, explaining the reason for terminating its capacity as lead advisory recommending securities firm and its material findings during the advisory period.
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| Article 6 |
The recommending securities firm shall strictly implement these Rules and report on time. It shall be responsible for any errors, omissions, or false or untrue representations in the relevant information. If the TPEx discovers any of the above-mentioned deficiencies, it shall contact and request the recommending securities firm to make corrections immediately and, depending on the actual circumstances in a given case, give it written notice to make improvements, and further take measures in accordance with the TPEx Rules for Handling Deficiencies in an Evaluation Report, Concluding Opinion, or Related Information Submitted by a Securities Firm.
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| Article 7 |
These Rules, and any amendments hereto, shall be publicly announced and enter into force after approval by the president of the TPEx.
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