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Enforcement Letter

Organisation: Financial Supervisory Commission
Issue No.: Financial-Supervisory-Securities-Trading-1080342407 
Issue Date: 2020/02/03
Content:     Order of the Financial Supervisory Commission
    Issue date: 3 February 2020
    Issue no: Financial-Supervisory-Securities-Trading-1080342407

  1. Under Article 30, paragraph 3, subparagraph 6 of the Regulations Governing Book-Entry Operations for Centrally Deposited Securities, approval is granted for exemption from the requirement, under paragraph 1 of the same article, to submit the account passbook and an account transfer application to the participant, when a customer of a securities firm or custodian bank that is a participant of the Taiwan Depository & Clearing Corporation (TDCC), in accordance with the provisions of the TDCC Handbook for Book-Entry Operations for Centrally Deposited Securities, by means of telephone or electronically (via network), applies to the participant to participate in tendering under a public tender offer and, through the participant, to have the securities it holds in the subject company transferred to the public tender offer account opened by the mandated institution, or applies to the participant for transfer, through the participant, to the TDCC-designated purchase account, of securities that a director of a company that is delisting from the Taiwan Stock Exchange or that is terminating trading on the Taipei Exchange has undertaken to purchase.
  2. This Order is effective from this day forward.

    Originals: To be posted on the public notice boards of the Financial Supervisory Commission (FSC) and the Securities and Futures Bureau of the FSC
    Copies: Legal Affairs Committee, Executive Yuan; FSC (Department of Legal Affairs); FSC ( Department of Information Management); FSC Financial Examination Bureau; FSC Banking Bureau; Taiwan Depository & Clearing Corporation; Taiwan Stock Exchange Corporation; Taipei Exchange; Taiwan Securities Association; Trust Association of the ROC; Lex Data Information Inc.; Root International Information Co., Ltd.