Regulations Governing the Issuance of Exchange Traded Notes by Securities Firms Article 6

Law:: Regulations Governing the Issuance of Exchange Traded Notes by Securities Firms
Chinese:: 證券商發行指數投資證券處理準則第6條

To issue or reopen ETNs, a securities firm shall submit the following documents to the TWSE or TPEx for review, to be then forwarded, together with the TWSE's or TPEx's review opinion and letter of approval for TWSE/TPEx listing, to the competent authority for filing for registration:1.A registration statement.2.An issuance plan.3.Minutes of the relevant board of directors meeting.4.A prospectus and a simplified prospectus.5.Documentary proof that the underlying index meets the requirements of Article 2, paragraph 3.6.Documentary proof that the securities firm meets the qualifying requirements for the issuance of ETNs as set out in Article 4, paragraph 1, subparagraphs 2, 3, and 8.7.Documentary proof that the securities firm meets the requirements of paragraph 2 of the preceding article.8.A statement of information on the current status of the ETNs (applicable only in the case of a reopening of ETNs).9.Other documents to be submitted in accordance with the requirements of the competent authority.

中文原文證券商發行指數投資證券處理準則第6條

證券商發行或增額發行指數投資證券，應檢附下列書件，送由證券交易所或櫃檯買賣中心審查，出具審查意見並核發上市（櫃）同意函後，轉報主管機關：
一、申報書。
二、發行計畫。
三、董事會議事錄。
四、公開說明書及簡式公開說明書。
五、標的指數符合第二條第三項規定之證明文件。
六、符合第四條第一項第二款、第三款及第八款規定發行指數投資證券之資格條件證明文件。
七、符合前條第二項規定之證明文件。
八、指數投資證券現況資料表（增額發行者適用）。
九、其他經主管機關規定應提出之文件。

English translation for reference only; the Chinese text prevails. Not legal advice.