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Title Taipei Exchange Procedures for the Review of Securities for TPEx Listing CH
Date 2005.05.12 ( Amended )

Article Content

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14-1
14-2 When the issuer has obtained the GreTai's OTC Trading Approval Letter and applies to the GreTai for OTC trading of its beneficial securities or asset-backed securities, it shall submit an application to the GreTai for OTC trading of the beneficial securities or asset-backed securities, filled out in full and including all required attachments. After case handlers have ascertained that a complete set of application documents has been submitted and carried out all application review procedures in accordance with GreTai regulations, they shall announce the OTC listing of the issue, and report monthly on the issue to the board of directors. The case handling department shall file a letter of report with the competent authority for recordation within the prescribed period, enclosing the OTC trading agreement for the beneficial securities or asset-backed securities entered into with the issuer.
14-3
14-4 A trustee institution that has obtained a GreTai OTC Listing Approval Letter and applies to the GreTai for OTC trading of its real-estate investment trust or real-estate asset trust beneficiary certificates shall do so by attaching an application form for OTC trading of real-estate investment trust or real-estate asset trust beneficiary certificates, filled out in full with all required documents attached. After the case-handler ascertains that a complete set of application documents has been submitted and that procedures required by the GreTai have been carried out, OTC listing for the issue will be publicly announced and its status reported monthly to the board of directors. The case-handling unit shall issue a letter of report on a regular basis to the competent authority for recordation, enclosing the contract entered into with the given trustee institution for OTC trading of real-estate investment trust or real-estate asset trust beneficiary certificates and related documents.
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