【法规名称】
【颁布时间】 2003-10-15
【法规编号】 42194 什么是编号？
【正 文】
PROTOCOL ON INFORMATION SHARING AND COOPERATION BETWEEN SECURITIES AND FUTURES COMMISSION OF TAIWAN AND AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
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PROTOCOLONINFORMATIONSHARINGANDCOOPERATIONBETWEENSECURITIESANDFUTURESCOMMISSIONOFTAIWANANDAUSTRALIANSECURITIESANDINVESTMENTSCOMMISSION 1 PROTOCOL ON INFORMATION SHARING AND COOPERATION TAIWANAUSTRALIA SECURITIES AND FUTURESAUSTRALIAN SECURITIES AND COMMISSION OF TAIWANINVESTMENTS COMMISSION Protocol on Information Sharing and Cooperation THE SECURITIES AND FUTURES COMMISSION OF TAIWAN AND THE AUSTRAL-IAN SECURITIES AND INVESTMENTS COMMISSION RECOGNISING, in the light of the increasing international activ-ity in securities markets, the need for mutual co-operation andconsultation in order to enhance investor protection, promotethe integrity of financial markets, and facilitate the performa-nce of their respective functions and powers; CONSIDERING the importance of ensuring compliance with, and enf-orcement of the laws and regulations governing securities, whichare applicable in Taiwan and Australia; and WILLING therefore to establish the fullest mutual assistance byproviding a framework for co-operation, including channels forcommunication, increased mutual understanding, the exchange ofinformation and investigative assistance permitted by the lawsand practices of Taiwan and Australia; RESOLVE: To enter into the following understanding: 1.Definitions For the purpose of this Protocol on Information Sharing andCooperation: uthority' means: (a) the Securities and Futures Commission of Taiwan; or (b) the Australian Securities and Investments Commission. The Securities and Futures Commission of Taiwan is the nati-onal securities regulator and is established under the Orga-nizational Statute of the Securities and Futures Commission,Ministry of Finance. The Securities and Futures Commissionof Taiwan is responsible for regulation and supervision ofissuance and trading of securities and futures markets. TheSecurities and Futures Commission of Taiwan ﹁ ability to exercise powers to obtain evidence on behalf of overseas se-curities commissions or similar bodies is governed by the Securities and Exchange Law, the Futures Trading Law and theOrganizational Statute of the Securities and Futures Commis-sion, Ministry of Finance. The Australian Securities and Investments Commission is thenational corporate and securities regulator established und-er section 7 of the Australian Securities and Investments Commission Act 2001. The Australian Securities and Investme-nts Commission is responsible for the administration and en-forcement of the Corporations Act 2001 and the Australian Securities and Investments Commission Act 2001, which provi-de for the regulation of corporations, securities and futur-es markets and intermediaries, and investor protection in relation to financial services and products. The AustralianSecurities and Investments Commission's ability to exercisecoercive powers on behalf of foreign regulators is governedby the Mutual Assistance in Business Regulation Act 1992. "investor" means a person who has, holds or places an order toobtain an interest in securities; "issuer" means a person who issues, proposes to issue or promot-es any security; "laws and regulations" means provisions of the laws and regulat-ions or any rule or policy applicable in Taiwan and Australia;"person" means a natural person, legal entity, partnership orunincorporated association; "requested Authority" means an Authority to whom a request ismade under this Protocol on Information Sharing and Cooperation;"requesting Authority" means an Authority making a request underthis Protocol on Information Sharing and Cooperation; "securities" means: (i) any share, stock, bond, debenture, interest in a collectiveinvestment scheme or any instrument similar to shares, stoc-ks, bonds, debentures, interest in a collective investmentscheme; (ii) any contract or right giving the right to subscribe, buy,sell or acquire by conversion any instrument mentioned in (i) above; (iii) any exchange contract, futures contract, options contract,or any financial instrument based on instruments mentionedin (i) above, except any financial derivative contract tr-aded over-the-counter in banks or similar financial insti-tutions; (iv) any index contract based on instruments mentioned in (i)above; or (v) any exchange contract, commodities futures contract or anycommodity futures option contract; "securities professionals" means: (a) any person who engages in the business of: (i) purchasing, selling, transferring, clearing or settlingsecurities; (ii) receiving and keeping securities on deposit; (iii) collecting, executing or transmitting orders given byinvestors concerning the purchase or sale of securities ; (iv) engaging on the basis of principal or agent, in the mana-gement of individual or collective securities portfolios or accounts; (v) advising on these matters; and (b) any person who is associated with another person who perf-orms any functions listed in subparagraph (a) including, without limitation, an employee or authorised representat-ive. 2.General Principles |
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