| Article 41 |
The notice of listing for sale, suspension of sale, or de-listing of bonds issued by the government ("Government Bonds") shall be given by the Competent Authority to this Corporation for its public announcement. Where the listed Government Bond has been redeemed at maturity, this Corporation may directly publicly announce its de-listing.
The listing for sale, suspension of sale, or de-listing of securities publicly issued by a company limited by shares ("Issuing Company"), beneficiary certificates issued by securities investment trust companies ("SITEs"), beneficial securities duly issued by trustee institutions, asset-based securities duly issued by special purposes companies, Taiwan Depositary Receipts issued by foreign issuers and their depositary institutions, and call (put) warrants issued by issuers pursuant to the law, shall be processed and publicly announced in accordance with the various types of securities listing contracts ("Agreement for Listing") executed between this Corporation and the Issuing Company, SITEs, trustee institution, special purpose company, beneficiary certificate issuer, or call (put) warrant issuer.
The Agreement for Listing referred to in the preceding Paragraph shall be executed in accordance with the Rules Governing the Agreement for Listing reported by this Corporation to and approved by the Competent Authority. Upon the effectiveness of the Agreement for Listing, where the Rules Governing the Agreement for Listing is amended such that discrepancy in the internal content occurs, the amended rules shall be applicable.
After the financial report of financial bonds issued by financial institutions, if certified in accordance with the "Certification Rules for Stocks and Bonds Issued by Companies," has been audited and certified by an accountant or approved and publicly announced by an auditing institution, reference may be made to Paragraph 2 of this Article for listing processing. |
| Article 42 |
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| Article 42-1 |
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| Article 43 |
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| Article 43-1 |
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| Article 43-2 |
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| Article 44 |
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| Article 45 |
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| Article 45-1 |
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| Article 46 |
Where a listed company suspends changes to the shareholders roster in accordance with Article 165 of the Company Law, it shall before the last date the shareholders roster may be changed and within the time period required by this Corporation, notify this Corporation of the reason for the suspension, date of suspension, amount of dividends and bonuses to be distributed, and allocation of rights and file a report on the Internet information reportage system designated by this Corporation. However, in special circumstances, where notification is given via mail of the reasons, the company may simply report to this Corporation the reasons for convening a shareholders meeting and the date of the meeting. In such cases, it shall follow up, at least 40 days prior to the date of the shareholders meeting, with an additional letter notifying this Corporation of the amount of dividends and bonuses to be distributed and rights to be allocated, and file a report on the Internet information reportage system designated by this Corporation.
Where public announcements are made by this Corporation in reliance of the notification referred to in the preceding Paragraph concerning ex dividend and ex right transactions, and the information therein has been changed subsequently, or a notification of the change is not made by the listed company within the time period specified by this Corporation, then the listed company shall be fully responsible for all damages suffered by any trading party in trading disputes.
The provisions of Paragraph 2 of this Article shall apply mutatis mutandis to SITEs setting a time period for changes to the beneficiaries list or date of distribution of profits when handling matters set forth in Article 7, Article 9, and Article 28 of the Administrative Rules for the Management of Securities Investment Trust Funds.
The provisions of Paragraphs 1 and 2 of this Article shall apply mutatis mutandis to the time period during which the shareholders list, the beneficiaries list, and the foreign bond holders list may not be changed due to the distribution of stock dividends, bond interests, profits, or other interests in accordance with the laws of its local jurisdiction, in respect of stocks or bonds issued by foreign issuers and their agents, or foreign securities represented by Taiwan Depositary Receipts that is issued by foreign issuers and their depositary institution.
The provisions of Paragraphs 1 and 2 shall apply mutatis mutandis when a trustee institution sets a record date for suspension of changes to entries in the register of beneficiaries or for distribution of income because of the convening of a beneficiaries meeting or distribution of profit on a special purpose trust, or when a special purpose company sets a record date for suspension of changes to entries in the register of holders of asset-based securities or a record date for distributions because of the convening of a meeting of holders of asset-based securities or distribution or repayment of principal, profit, interest, or other income rights in accordance with an asset securitization plan.Where a listed company suspends changes to the shareholders roster in accordance with Article 165 of the Company Law, it shall before the last date the shareholders roster may be changed and within the time period required by this Corporation, notify this Corporation of the reason for the suspension, date of suspension, amount of dividends and bonuses to be distributed, and allocation of rights and file a report on the Internet information reportage system designated by this Corporation. However, in special circumstances, where notification is given via mail of the reasons, the company may simply report to this Corporation the reasons for convening a shareholders meeting and the date of the meeting. In such cases, it shall follow up, at least 40 days prior to the date of the shareholders meeting, with an additional letter notifying this Corporation of the amount of dividends and bonuses to be distributed and rights to be allocated, and file a report on the Internet information reportage system designated by this Corporation.
Where public announcements are made by this Corporation in reliance of the notification referred to in the preceding Paragraph concerning ex dividend and ex right transactions, and the information therein has been changed subsequently, or a notification of the change is not made by the listed company within the time period specified by this Corporation, then the listed company shall be fully responsible for all damages suffered by any trading party in trading disputes.
The provisions of Paragraph 2 of this Article shall apply mutatis mutandis to SITEs setting a time period for changes to the beneficiaries list or date of distribution of profits when handling matters set forth in Article 7, Article 9, and Article 28 of the Administrative Rules for the Management of Securities Investment Trust Funds.
The provisions of Paragraphs 1 and 2 of this Article shall apply mutatis mutandis to the time period during which the shareholders list, the beneficiaries list, and the foreign bond holders list may not be changed due to the distribution of stock dividends, bond interests, profits, or other interests in accordance with the laws of its local jurisdiction, in respect of stocks or bonds issued by foreign issuers and their agents, or foreign securities represented by Taiwan Depositary Receipts that is issued by foreign issuers and their depositary institution.
The provisions of Paragraphs 1 and 2 shall apply mutatis mutandis when a trustee institution sets a record date for suspension of changes to entries in the register of beneficiaries or for distribution of income because of the convening of a beneficiaries meeting or distribution of profit on a special purpose trust, or when a special purpose company sets a record date for suspension of changes to entries in the register of holders of asset-based securities or a record date for distributions because of the convening of a meeting of holders of asset-based securities or distribution or repayment of principal, profit, interest, or other income rights in accordance with an asset securitization plan. |
| Article 46-1 |
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| Article 47 |
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| Article 47-1 |
SITEs shall provide the following information within the prescribed time period:
1. Where an announcement is related to the rights of beneficiaries, two copies of the announcement shall be provided. Where particulars that should be publicly announced but were not announced, or where the announced items were not sufficiently explanatory, this Corporation may inform the company to make the announcement or supplement or amend the announcement.
2. At least 2,000 copies of the prospectus must be provided when the beneficiary certificate begins trading on the Exchange.
3. At the same time that they are filed with the Competent Authority, two copies of the annual report and monthly balance sheet report shall be provided.
This Corporation may provide original or abstract copies of the information provided to it pursuant to the preceding Paragraphs for review by the public. |
| Article 47-2 |
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| Article 47-3 |
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| Article 47-4 |
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| Article 48 |
Within two days of the occurrence or of the effectiveness of the following events, a listed company shall report to this Corporation:
1. Where any of the conditions specified in Article 49 and Article 50 of these Rules occurs.
2. Amendment of its articles of incorporation, or increase/decrease of capitalization.
3. Issuance of preferred classes of shares, or the issuance, maturity or redemption of corporate bonds, or the conversion of convertible bonds into shares in accordance with its terms.
4. Addition or reduction or substitution in value of the security for the bond.
5. Change in the director, supervisor, or manager.
6. Change in the major business.
7. Occurrence of any conditions specified in Article 282 of the Company Law.
8. The reaching of a resolution referred to in Article 185 of the Company Law, the purchase of shares referred to in Article 186 of the Company Law, or the negotiation and determination of the purchase price of shares referred to in Article 187 of the Company Law.
9. The pledge, mortgage, sale, or write-off of a major business asset.
10. Decreased or total stoppage of the manufacture of all or partial products due to major disasters.
11. The commencement or termination of major litigious matters and tax matters.
12.Any changes in the specimen stock certificate of listed securities.
13. Any action of the promoters or directors that under the Company Law carries civil liabilities.
14. Any resolutions of the normal or special meeting of shareholders which have been revoked by a court in accordance with the law.
15. Where reports are made to the competent Authority pursuant to Article 25, and Paragraph 2 of Article 36 of the Securities and Exchange Law.
16. Any judicial decision on the reported loss of, and deprivation of rights for listed securities, or the attachment or provisional attachment thereof, or its holder is adjudicated to be bankrupt.
SITEs satisfying the following conditions shall report to this Corporation:
1. Any changes in the specimen certificate of a beneficiary certificate.
2. Any events specified in Article 24 and Article 25 of the Administrative Rules for the Management of Securities Investment Trust Funds.
3. Any events specified in Article 7, Article 8 and Article 16 of the Rules Governing Securities Investment Trust Enterprises.
Upon receiving any notice made pursuant to the preceding two Paragraphs, or where it learns such information from other sources, in order to provide reference material to the public, this Corporation shall, in addition to processing the matter in accordance with regulations or reporting to the Competent Authority for its disposal, publicly announce the matter or notify the listed company in writing to report it on the Internet information reportage system designated by this Corporation.Within two days of the occurrence or of the effectiveness of the following events, a listed company shall report to this Corporation:
1. Where any of the conditions specified in Article 49 and Article 50 of these Rules occurs.
2. Amendment of its articles of incorporation, or increase/decrease of capitalization.
3. Issuance of preferred classes of shares, or the issuance, maturity or redemption of corporate bonds, or the conversion of convertible bonds into shares in accordance with its terms.
4. Addition or reduction or substitution in value of the security for the bond.
5. Change in the director, supervisor, or manager.
6. Change in the major business.
7. Occurrence of any conditions specified in Article 282 of the Company Law.
8. The reaching of a resolution referred to in Article 185 of the Company Law, the purchase of shares referred to in Article 186 of the Company Law, or the negotiation and determination of the purchase price of shares referred to in Article 187 of the Company Law.
9. The pledge, mortgage, sale, or write-off of a major business asset.
10. Decreased or total stoppage of the manufacture of all or partial products due to major disasters.
11. The commencement or termination of major litigious matters and tax matters.
12.Any changes in the specimen stock certificate of listed securities.
13. Any action of the promoters or directors that under the Company Law carries civil liabilities.
14. Any resolutions of the normal or special meeting of shareholders which have been revoked by a court in accordance with the law.
15. Where reports are made to the competent Authority pursuant to Article 25, and Paragraph 2 of Article 36 of the Securities and Exchange Law.
16. Any judicial decision on the reported loss of, and deprivation of rights for listed securities, or the attachment or provisional attachment thereof, or its holder is adjudicated to be bankrupt.
SITEs satisfying the following conditions shall report to this Corporation:
1. Any changes in the specimen certificate of a beneficiary certificate.
2. Any events specified in Article 24 and Article 25 of the Administrative Rules for the Management of Securities Investment Trust Funds.
3. Any events specified in Article 7, Article 8 and Article 16 of the Rules Governing Securities Investment Trust Enterprises.
Upon receiving any notice made pursuant to the preceding two Paragraphs, or where it learns such information from other sources, in order to provide reference material to the public, this Corporation shall, in addition to processing the matter in accordance with regulations or reporting to the Competent Authority for its disposal, publicly announce the matter or notify the listed company in writing to report it on the Internet information reportage system designated by this Corporation. |
| Article 48-1 |
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| Article 49 |
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| Article 50 |
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| Article 50-1 |
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| Article 50-2 |
This Corporation may publicly announce the de-listing of beneficiary certificates when the period of validity of a securities investment trust fund has expired, or when the securities investment trust contract has terminated.
Where the securities investment trust fund managed by any SITE satisfies any of the following conditions, this Corporation may report to and obtain the approval of the Competent Authority to de-list its beneficiary certificates:
1. Any conditions specified in Paragraph 2 of Article 22 of the Administrative Rules for the Management of Securities Investment Trust Funds.
2. Change to an open-ended investment fund upon the resolution of the meeting of the beneficiaries, and reported to and approved by the Competent Authority, or in accordance with the terms of the securities investment trust contract.
3. The total issued value of the securities investment trust fund falls below 800 million New Taiwan Dollars due to opening of redemption.
4. Upon any other reasons this Corporation believes it is necessary to terminate the listing of the beneficiaries certificate. |
| Article 50-3 |
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| Article 50-4 |
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| Article 50-5 |
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| Article 50-6 |
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| Article 51 |
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| Article 51-1 |
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| Article 51-2 |
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| Article 51-3 |
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| Article 52 |
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| Article 52-1 |
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| Article 53 |
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