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A securities firm that issues call (put) warrants for OTC listing shall carry out the issuance and shall submit related materials to the GTSM in accordance with the following provisions:
1. Following issuance by the GTSM of documents for approval of the issuance plan for call (put) warrants, the securities firm shall enter the announcement of sale of call (put) warrants into the GTSM-designated website for information reporting, and after approval of the listing agreement by the competent authority, it shall, at least two business days prior to the projected listing date, consult with the GTSM on matters related to the projected listing. The projected listing date may not be later than ten business days after the date of consultation with the GTSM.
After completion of all necessary arrangements for listing with the GTSM, the issuer shall pay the yearly listing fee and the performance bond to the GTSM.
Yearly listing fees shall be determined by the mutatis mutandis application of the provisions for collection of company stock fees under the GTSM's fee schedule for OTC listing of securities.
2. After the securities firm has made arrangements for the projected listing date, the GTSM shall immediately review its application form and related attachments and carry out public announcement of GTSM listing. If verification shows the issue does not meet listing terms and conditions, a letter of report with relevant documents shall be issued for handling by the competent authority. |
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