【法规名称】
【颁布时间】 2003-10-15
【法规编号】 42194 什么是编号？
【正 文】
第2页 PROTOCOL ON INFORMATION SHARING AND COOPERATION BETWEEN SECURITIES AND FUTURES COMMISSION OF TAIWAN AND AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
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[接上页] 2.1 The purpose of this Protocol on Information Sharing and Coo-peration is to establish within the limits provided by thelaw a framework for mutual assistance between the Authoriti-es in order to protect investors, promote the integrity offinancial markets, facilitate the performance of the Author-ities' functions, and ensure compliance with the laws and regulations governing securities, which are applicable in Taiwan and Australia. 2.2 To the extent permitted by the laws and practices of Taiwanand Australia, the Authorities will use reasonable effortsto provide each other with any information, documents or evidence that are discovered which gives rise to a suspicionof a breach, or anticipated breach, of the rules or laws ofthe other Authority﹁ jurisdiction. 2.3 The Authorities intend to ensure that the fullest mutual as-sistance is provided within the terms of the Protocol on In-formation Sharing and Cooperation. 2.4 The Protocol on Information Sharing and Cooperation does not: (a) modify or supersede any laws or regulations applicablein Taiwan or Australia; (b) affect the ability of the Authorities to exchange non-confidential information; (c) create a binding obligation under international law; (d) create any enforceable rights; (e) affect any other Agreements entered into by the Authori-ties. 3.Scope of Assistance 3.1 Mutual assistance will be provided in the following areas:(a) insider trading, market manipulation and other fraudule-nt and manipulative practices in relation to securities; (b) enforcement of the laws and regulations relating to sec-urities business; (c) ensuring that participants in securities business promo-te high standards of fair dealing and integrity in their conduct of that business; (d) rights of investors to obtain timely and accurate infor-mation about securities, and disclosure of interests in securities of issuers; (e) the duties of issuers of and offerors for securities tomake full and fair disclosure of information material to investors. 3.2 Assistance available under this Protocol on Information Sha-ring and Cooperation includes: (a) providing information from files of the requested Autho-rity; (b) obtaining evidence and documents from persons; and (c) taking statements from persons. 4.Requests for Assistance 4.1 Requests for assistance must be made in writing and address-ed to the requested Authority﹁ contact officer listed in Appendix A. 4.2 To facilitate assistance, the requesting Authority shouldspecify: (a) a description in general terms of the subject matter ofthe request and of the facts of the matter including: (i) the conduct under investigation; (ii) any periods of time to which the request relates; and(iii) the names, and last known addresses, of individuals or companies referred to in the request; (b) the assistance sought, such as (where possible) any par-ticulars which will assist the requested Authority in complying with the request, including specific questions to be asked of witnesses, or a list of documents sought; (c) the purpose for which assistance is sought; (d) a copy of the laws or regulations which may have been violated, and a statement of the way in which the facts give rise to a belief or suspicion that the laws or reg- ulation may have been violated; (e) a statement as to whether the requesting Authority hassought, or could conveniently seek, from another source the information, evidence or documents to which the req- uest relates; (f) the purpose for which the information, evidence or docu-ments is to be used or may at any future time be used; (g) the desired time period and means for the reply and, wh-ere appropriate, the urgency of the request; (h) any other matters specified by the laws and regulationsin the jurisdiction of the requested Authority. 4.3 Any document or other material provided in response to a re-quest under the Protocol on Information Sharing and Coopera-tion and any copies thereof must be returned on request, tothe extent permitted by law. 4.4 The Protocol on Information Sharing and Cooperation does notaffect the ability of the Authorities to obtain informationfrom persons on a voluntary basis, provided that any existi-ng procedures in an Authority's jurisdiction for the provis-ion of such information are observed. 5 Execution of Requests 5.1 Each request will be assessed by the requested Authority todetermine whether assistance can be provided under the termsof the Protocol on Information Sharing and Cooperation. If arequest cannot be accepted completely, the requested Author-ity will consider whether any other assistance can be given(for instance, through channels for mutual assistance in cr-iminal matters). 5.2 In deciding whether to accept or decline a request the requ-ested Authority will take into account whether: (a) executing the request would violate legal requirementsin the jurisdiction of the requested Authority; (b) the request involves an assertion of jurisdiction not recognised by the requested Authority; |
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