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Enforcement Letter

 
Organisation: Financial Supervisory Commission
Issue No.: Financial-Supervisory-Securities-Corporate-11003362463 
Issue Date: 2021/08/04
Content:     Public Announcement of the Financial Supervisory Commission

    Issue date: 15 April 2021
    Issue no.: Financial-Supervisory-Securities-Corporate-11003362463

    Subject:
        Public announcement engaging the Taipei Exchange (TPEx) to handle cases of filings by TPEx listed companies and TPEx 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), 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: TPEx listed companies and TPEx 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 TPEx is engaged to handle: cases of filings by TPEx listed companies and TPEx 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 the voidance, revocation, or amendment of effective registrations of filings for the above cases.
  3. The TPEx is authorized to formulate relevant rules and forms for the filings that it is engaged to handle hereunder, and TPEx listed companies and TPEx primary listed companies shall comply with the relevant provisions of the TPEx. The TPEx is located at: 15F, No. 100, Sec. 2, Roosevelt Road, Zhongzheng Dist., Taipei; tel. (02) 2369-9555.
  4. In the event of any amendment to or termination of the engagement hereunder, another public announcement will be made.