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Application for Listing of Asset-Backed Securities
To: Taiwan Stock Exchange Corporation (TWSE)
Subject: The institution desires to list on the TWSE the following asset-backed securities which it is authorized to offer and issue, and hereby submits the listing contract for asset-backed securities and required documents pursuant to the Securities and Exchange Act and relevant rules of the TWSE. Your approval is appreciated.
┌───────┬────┬────┬─────┬──────┐
│Name of Issuer│ │Total │Registered│ │
│ │ │Capital │Capital │ │
│ │ │ ├─────┼──────┤
│ │ │ │Paid-in │ │
│ │ │ │Capital │ │
├───────┼────┼────┴─────┼──────┤
│Date of │ │Date of Amendment │ │
│Registration │ │Registration │ │
│of │ │ │ │
│Incorporation │ │ │ │
│of the │ │ │ │
│Institution │ │ │ │
├───────┼────┼──────────┼──────┤
│Originator │ │Content of Assets │ │
│ │ │Pool │ │
├───────┼────┼──────────┼──────┤
│Supervisory │ │Credit Rating Agency│ │
│Institution │ │of the Securities │ │
│ │ │and its Rating │ │
├───────┼────┼────┬─────┼──────┤
│Name and Type │Total │Coupon │Principal │Satisfaction│
│of the │Dollar │Rate and│and │Order and │
│Asset-backed │Amount │Content │Profits │Period of │
│Securities │of and │of Right│Repayment │Issuance │
│ │Face │ │and │ │
│ │Value of│ │Allocation│ │
│ │Each │ │Method │ │
│ │Security│ │ │ │
├───────┼────┼────┼─────┼──────┤
│1. │ │ │ │ │
├───────┼────┼────┼─────┼──────┤
│2. │ │ │ │ │
├───────┼────┼────┼─────┼──────┤
│3.(If the │ │ │ │ │
│space provided│ │ │ │ │
│is │ │ │ │ │
│insufficient, │ │ │ │ │
│please insert │ │ │ │ │
│additional │ │ │ │ │
│rows) │ │ │ │ │
├───────┼────┼────┼─────┼──────┤
│Date and │ │ │ │ │
│Reference │ │ │ │ │
│Number of │ │ │ │ │
│Approval of │ │ │ │ │
│Offering and │ │ │ │ │
│Issuing │ │ │ │ │
├───────┼────┴────┼─────┼──────┤
│Scheduled Date│ │Scheduled │ │
│of Listing for│ │Date of │ │
│Trading │ │Completion│ │
│ │ │of │ │
│ │ │Offering │ │
├───────┼─────────┴─────┴──────┤
│Date of │(Month, Day, Year) │
│Application │ │
├───────┼──────────────────────┤
│Attachments │1. Photocopies of the permit or license │
│ │ issued by the competent authority and │
│ │ Ministry of Economic Affairs approval for│
│ │ the last amendment registration and │
│ │ amendment registration form. │
│ │2. Three photocopies of documentary proof of│
│ │ approval of the competent securities │
│ │ authority for issuance of asset-backed │
│ │ securities. │
│ │3. Five counterparts of the listing contract│
│ │ for asset-backed securities. │
│ │4. Three photocopies of the asset │
│ │ securitization plan. │
│ │5. Three photocopies of the asset transfer │
│ │ agreement or other documentary proof. │
│ │6. Three photocopies of the asset-backed │
│ │ securities issuance plan. │
│ │7. Three photocopies of documentary proof of│
│ │ the board consent to the originator's │
│ │ sale of assets. If the originator is a │
│ │ foreign institution, documentary proof │
│ │ may be submitted in the form of signed │
│ │ documents of the unit or personnel │
│ │ authorized by its headquarters (head │
│ │ office). │
│ │8. Three photocopies of the board resolution│
│ │ of the special purpose company indicating│
│ │ its consent to the public offering of │
│ │ asset-backed securities. │
│ │9. Three photocopies of the contract of │
│ │ mandate of the principal service │
│ │ institution or other documentary proof. │
│ │10. Three photocopies of the trust assets │
│ │ management and disposition manual. │
│ │11. Three photocopies of the latest │
│ │ financial reports of the special purpose│
│ │ company. │
│ │12. Name and address of the supervisory │
│ │ institution. │
│ │13. Three photocopies of the legal opinions │
│ │ and case review forms by attorneys. │
│ │14. Three photocopies of the credit rating │
│ │ report by a credit rating agency │
│ │ accredited by the competent authority. │
│ │15. Three photocopies of the credit │
│ │ enhancement contract executed between │
│ │ the special purpose company and credit │
│ │ enhancement provider and certified by an│
│ │ attorney (not required if no such │
│ │ contract exists). │
│ │16. Three photocopies of the opinions of │
│ │ accountants on the valuation, │
│ │ fundamental assumption and │
│ │ reasonableness of price of the assigned │
│ │ assets. │
│ │17. Three photocopies of the assessment │
│ │ report of the securities underwriter. │
│ │18. Sample asset-backed securities or │
│ │ documentary proof of registration of │
│ │ non-physical issuance (to be delivered │
│ │ in the form and number of copies │
│ │ prescribed by the TWSE). │
│ │19. Prospectus (to be delivered in the form │
│ │ and number of copies prescribed by the │
│ │ TWSE). │
│ │20. Signature (seal) specimen card of the │
│ │ institution handling the securities │
│ │ business (please contact the TWSE for │
│ │ the number of counterparts required, but│
│ │ such card is not required in the event │
│ │ of non-physical issuance). │
│ │21. Underwriting contract between the │
│ │ special purpose company and securities │
│ │ underwriter and report of dispersion of │
│ │ beneficial holders after underwriting │
│ │ (to be delivered before listing │
│ │ arrangement). │
│ │22. Three counterparts of the declaration of│
│ │ the originator and securities │
│ │ underwriter that none of the │
│ │ circumstances in Subparagraphs 1 to 8, │
│ │ Paragraph 1, Article 26 of the │
│ │ Regulations Governing Securities Firms │
│ │ applies. │
│ │23. Other necessary documentary proof or │
│ │ information. │
├───────┴──────────────────────┤
│ Applicant: │
│ Legal Representative: (Signature) │
│ Institution Address: │
│ Contact Person: Telephone Number: │
└──────────────────────────────┘
Explanation:
- This Listing Application is made in five counterparts and will take effect and be deemed part of the Listing Contract upon the approval of the TWSE.
- If any information needs to be revised during the review period, an explanation shall be provided in the form of a comparison table with the revised item and reason specified.
- Any attachment that is in foreign language shall be accompanied by a Chinese translation.
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