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Enforcement Letter

 
Organisation: Financial Supervisory Commission
Issue No.: Financial-Supervisory-Securities-Firms-10703209866 
Issue Date: 2018/07/02
Content:     Order of the Financial Supervisory Commission (FSC)

    Issue date: 2 July 2018
    Issue No.: Issue no.: Financial-Supervisory-Securities-Firms-10703209866

    Pursuant to Article 6, paragraph 1 of the Securities and Exchange Act, exchange-traded notes issued by securities firms are approved as "securities" as referred to in the Securities and Exchange Act.

    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); Ministry of Finance; FSC (Department of Legal Affairs; Department of Information Management); FSC Banking Bureau; FSC Insurance Bureau; FSC Financial Examination Bureau; Taiwan Securities Association; Taiwan Stock Exchange Corporation; Taipei Exchange; Taiwan Depository & Clearing Corporation; Securities & Futures Institute; Lex Data Information Inc.; Root International Information Co., Ltd.; Winkler Partners, Attorneys at Law