Search Results

Enforcement Letter

 
Organisation: Financial Supervisory Commission (FSC)
Issue No.: Financial-Supervisory-Securities-Firms-10400407581 
Issue Date: 2015/12/28
Summary: Designation of the Institution and the Information Transmission System for Reports Under Article 10, Applied Mutatis Mutandis Under Article 4, Paragraph 4, of the Regulations Governing Offshore Structured Products (Financial-Supervisory-Securities-Firms-10400407581)
Content:     Designation of the Institution and the Information Transmission System for Reports Under Article 10, Applied Mutatis Mutandis Under Article 4, Paragraph 4, of the Regulations Governing Offshore Structured Products (Financial-Supervisory-Securities-Firms-10400407581)

    Order of the Financial Supervisory Commission (FSC)

    Issue date: 28 December 2015
    Issue no.: Financial-Supervisory-Securities-Firms-10400407581
  1. The FSC hereby designates the Taipei Exchange (TPEx) and the TPEx Financial Derivative Trade Database as the FSC-designated institution and information transmission system for reports under Article 10, applied mutatis mutandis under Article 4, paragraph 4, of the Regulations Governing Offshore Structured Products.
  2. Attachment 1 gives the format and content of the report that an issuer or master agent is required to produce on each business day under Article 10, paragraph 1, applied mutatis mutandis under Article 4, paragraph 4, of the Regulations Governing Offshore Structured Products.
  3. Attachment 2 gives the format and content of the monthly report that an issuer or master agent is required to produce within 10 days after the end of each month under Article 10, paragraph 2, applied mutatis mutandis under Article 4, paragraph 4, of the Regulations Governing Offshore Structured Products.
  4. This Order is effective from 1 January 2016
    Originals: To be posted on the public notice boards of the FSC and the Securities and Futures Bureau of the FSC
    Copies: Legal Affairs Committee, Executive Yuan; Central Bank of the Republic of China (Taiwan); FSC (Department of Legal Affairs and Department of Information Management); FSC Banking Bureau; FSC Insurance Bureau; FSC Financial Examination Bureau; Taiwan Stock Exchange Corporation; Taipei Exchange; Taiwan Depository & Clearing Corporation; Taiwan Financial Services Roundtable Co., Ltd.; Trust Association of R.O.C.; Taiwan Securities Association; Non-Life Insurance Association of the R.O.C., Securities Investment Trust and Consulting Association of the R.O.C.; Bankers Association of the Republic of China; Winkler Partners, Attorneys at Law; Lex Data Information Inc.; Root International Information Co., Ltd. (attachments included with all copies)