Capital Market / Securities

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March 2020

Whether false information in financial documents meets the "materiality" criteria under the Securities and Exchange Law should be comprehensively determined by qualitative and quantitative indicators (Taiwan)

December 2019

If a company elects to decide the salaries and compensation of the directors, supervisors and managerial officers without individual assessment by the compensation committee in violation of Article 14-6 of the Securities and Exchange Law, this merely gives rise to the issue of whether the competent authority may impose any administrative sanction upon such company, and it does not force such decision to be invalid (Taiwan)

December 2019

If a company endorse a negotiable instrument with an intent to provide an implied guarantee, even though the holder of the negotiable instrument is obviously aware of this, the company should still be liable based on the literal meaning of the negotiable instrument (Taiwan)

December 2019

Measures for the Administration of Net Capital of Wealth Management Subsidiaries of Commercial Banks (Trial Implementation) (Mainland China)

November 2019

With respect to the operation of the securities business, it is not appropriate to conclude that there is an act of securities trading operation merely based on the actor's single resale of shares to specific persons (Taiwan)

November 2019

Article 125, Paragraph 3 of the Banking Law penalizes the de facto legal representative of a juristic person who has engaged in the actual act and is not limited to the legal representative or managerial officers indicated in the company registration data (Taiwan)

October 2019

Although an investor purchases a stock before a false financial report is released, still the investor may be injured for failure to sell the stock after the purchase due to misbelief in the financial report; and therefore, it is still inappropriate to draw a conclusion unfavorable to the investor on such basis (Taiwan)

October 2019

The requirement that a person who acquires a negotiable instrument in bad faith shall not enjoy any rights in the negotiable instrument under Article 14, Paragraph 1 of the Negotiable Instruments Law refers to the circumstance where the ownership of the negotiable instrument is originally obtained from a person without a disposal right; and the rights over the negotiable instrument may be enjoyed only if the negotiable instrument is assigned by a person with a legitimate disposal right (Taiwan)

August 2019

The FSC formulated the Operating Guidelines for Application for Trial Business by Banks (Taiwan)

August 2019

The Securities and Exchange Law is amended to require that financial reports to be signed and sealed by actual supervisors and certified by certified public accountants (Taiwan)
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