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Enforcement Letter

 
Organisation: Financial Supervisory Commission
Issue No.: Financial-Supervisory-Securities-Corporate-11003362462 
Issue Date: 2021/04/15
Content:     Public Announcement of the Financial Supervisory Commission

    Issue date: 15 April 2021
    Issue no.: Financial-Supervisory-Securities-Corporate-11003362462

    Subject:
        Public announcement engaging the Taiwan Stock Exchange Corporation (TWSE) to handle cases of filings by TWSE listed companies and TWSE primary listed companies for issuance of new shares in connection with a merger, or issuance of new shares in connection with receiving transfer of shares of another company, or issuance of new shares in connection with an acquisition or demerger conducted in accordance with related laws, or the retroactive handling of public issuance procedures for privately placed securities, or capital reduction (excluding capital reduction cases in which a filing is concurrently made for issuance of new shares for capital increase), and cases of filings by Taiwan Innovation Board (TIB) listed companies and TIB primary listed companies for initial public offering (including cases in which a filing is concurrently made for both issuance of new shares for capital increase and issuance of new shares as stock dividends) or issuance of new shares for cash capital increase for the purpose of public sale prior to initial listing on the TWSE, for implementation from 1 May 2021.
    Basis:
  1. Article 11-1 of the Regulations Governing the Offering and Issuance of Securities by Securities Issuers and Article 9-1 of the Regulations Governing the Offering and Issuance of Securities by Foreign Issuers.
  2. Article 16 of the Administrative Procedure Act.
    Public announcement:
  1. Entities from which filings will be accepted: TWSE listed companies and TWSE primary listed companies as defined in the Regulations Governing the Offering and Issuance of Securities by Securities Issuers and the Regulations Governing the Offering and Issuance of Securities by Foreign Issuers.
  2. Matters that the TWSE is engaged to handle: cases of filings by TWSE listed companies and TWSE primary listed companies for issuance of new shares in connection with a merger, or issuance of new shares in connection with receiving transfer of shares of another company, or issuance of new shares in connection with an acquisition or demerger conducted in accordance with related laws, or the retroactive handling of public issuance procedures for privately placed securities, or capital reduction (excluding capital reduction cases in which a filing is concurrently made for issuance of new shares for capital increase), and cases of filings by Taiwan Innovation Board (TIB) listed companies and TIB primary listed companies for initial public offering (including cases in which a filing is concurrently made for both issuance of new shares for capital increase and issuance of new shares as stock dividends) or issuance of new shares for cash capital increase for the purpose of public sale prior to initial listing on the TWSE, and the voidance, revocation, or amendment of effective registrations of filings for the above cases.
  3. The TWSE is authorized to formulate relevant rules and forms for the filings that it is engaged to handle hereunder, and TWSE listed companies and TWSE primary listed companies shall comply with the relevant provisions of the TWSE. The TWSE is located at: 9F, No. 7, Sec. 5, Xinyi Rd., Xinyi Dist., Taipei City; tel. (02) 8101-3101.
  4. In the event of any amendment to or termination of the engagement hereunder, another public announcement will be made.