Related Regulations and Related Documents

Relevant regulations of the competent authority

Category Regulations Documents
Issuance Securities and Exchange Act  
Enforcement Letter-Financial-Supervisory-Securities-Firms-10703209866  
Regulations Governing the Issuance of Exchange Traded Notes by Securities Firms The issuance of ETNs application letter

TPEx rules

Category Regulations Documents
Apply for listing(or issue an additional amount) Taipei Exchange Rules Governing Securities Trading on the TPEx(§3、§8、§9、§9-1、§10、§11-7、§12-15、§13-2、§14、§15、39-9)  
Taipei Exchange Rules Governing the Review of Exchange-Traded Notes for Trading on the TPEx Application for Letter of Approval for the Qualifications of the Underlying Index of Exchange-Traded Note
Report Guideline -approval for the Qualifications of the Underlying Index of Exchange-Traded Note
Checklist -approval for the Qualifications of the Underlying Index of Exchange-Traded Note
Application for Letter of Approval for TPEx Listing of Exchange-Traded Note
Statement(apply for approval for TPEx Listing of Exchange-Traded Note)
Application for TPEx Trading of Exchange-Traded Note
Statement(apply for TPEx Trading of Exchange-Traded Note)
Taipei Exchange Directions for the Recognition of the Qualifications of Underlying Indexes of Exchange-Traded Notes  
Exchange Traded Notes Prospectus and Simplified Prospectus Template  
Taipei Exchange Rules Governing the Collection of Securities Listing Application Review Fees(§3-2)  
Taipei Exchange Securities Listing Fee Rates(§1)  
Taipei Exchange Operating Procedures for Replacement Issues of TPEx Listed Securities(§1、§4、§5)  
Trading Taipei Exchange Rules Governing the Trading of Exchange-Traded Notes  
Information Disclosure Taipei Exchange Procedures for Verification and Disclosure of Material Information of TPEx Listed Exchange-Traded Notes Public Disclosure Statement of Material Information by an Issuer of ETNs
Subscription and Redemption Taipei Exchange Directions for Subscription and Redemption of Exchange-Traded Notes  
Risk Disclosure Statement for Trading in and Subscription and Sellback of Exchange Traded Notes  

TDCC rules

Category Regulations
Book-entry basis and custody Operating Rules of the Taiwan Depository & Clearing Corporation (TDCC)