【法规名称】
【颁布时间】 2003-10-15
【法规编号】 42194 什么是编号？
【正 文】
第3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] (c) it would be contrary to the public interest to give theassistance sought; and (d) the information or assistance would be more readily obt-ained through other channels. 6 Permissible Use of Information 6.1 Unless otherwise agreed to by the requested Authority theinformation supplied will be used solely for the purpose of:(a) securing compliance with, or enforcing, the rule or lawspecified in the request by initiating or assisting in criminal prosecution arising out the breach or suspected breach of such law; (b) conducting or assisting in civil or administrative proc-eedings, including proceedings which arise out of any actual, suspected or anticipated breach of the rule or law specified in the request, and brought by the Author- ities or other law enforcement or regulatory agencies within the jurisdictions of Taiwan or Australia; or (c) taking regulatory action or imposing regulatory require-ments within the areas set out above. 7 Confidentiality 7.1 Each Authority shall keep confidential, to the extent permi-tted by law, requests or communications of information, madewithin the framework of this Protocol on Information Sharingand Cooperation, the contents of such requests, and any oth-er matters arising during the implementation of this Protoc-ol on Information Sharing and Cooperation, including consul-tations between the Authorities. 7.2 In all cases, the requesting Authority shall keep confident-ial, to the extent permitted by law, any information receiv-ed pursuant to this Protocol on Information Sharing and Coo-peration to the same extent as such information would be ke-pt confidential by the Authority which has furnished the in-formation. 7.3 If a requesting Authority becomes aware that information,statements, evidence or documents provided under the Protoc-ol on Information Sharing and Cooperation may be subject toa legally enforceable demand to disclose, the requesting Au-thority will, to the extent permitted by law, inform the re-quested Authority of the demand. 7.4 Unless the request provides otherwise, the confidentialityprovisions of the Protocol on Information Sharing and Coope-ration shall not prevent the Authorities from informing ano-ther law enforcement or regulatory agency within the jurisd-ictions of Taiwan or Australia of the request or the passingof information or of the information received pursuant to arequest to such agencies, provided that: (a) the agency is responsible for prosecuting, regulating orenforcing rules or laws falling within the areas set out in clause 3; (b) that the purpose of passing that information to the age-ncy falls within the areas set out in clause 6; (c) the information is provided on the understanding that itmay not be used or disclosed by the agency except for that purpose; and (d) the requesting Authority has provided an undertaking inrelation to the information requested, if required by the law of the requested Authority﹁ jurisdiction, in such terms as the law requires. 8 Consultation and Disputes 8.1 The Authorities may consult informally, at any time, about arequest or proposed request. 8.2 The Authorities may consult and review this Protocol on Inf-ormation Sharing and Cooperation with the aim of improvingits operation and resolving any disputes which arise. 8.3 The Authorities will consult in the event of any dispute ov-er the meaning of any term used in this Protocol on Informa-tion Sharing and Cooperation. 9 Amendments to the Protocol on Information Sharing and Coopera-tion 9 The Authorities may consult and may revise the terms of theProtocol on Information Sharing and Cooperation upon mutualagreement. 10 Termination 10.1 The Protocol on Information Sharing and Cooperation shallcontinue to have effect until terminated by any one of theAuthorities by giving 30 days written notice to the other Authority of its termination. 10.2 If an Authority gives notice that this Protocol on Informa-tion Sharing and Cooperation is to be terminated, the Prot-ocol on Information Sharing and Cooperation will continue to have effect with respect to any requests for assistancemade before the date of notification. 11 Contact Officers 11 All communications between the Authorities should be betweenthe contact officers listed in Appendix A, unless otherwiseagreed. 12 Entry into Effect 12 This Protocol on Information Sharing and Cooperation will beeffective from the date of its signature by the Securitiesand Futures Commission of Taiwan and the Australian Securiti-es and Investments Commission. Signed, on the 20th day ofMay (or new date), 2003, in duplica-te, in English. ________________________________________________Ding, Kung-Wha David Knott Chairman Chairman Securities and Futures Australian Securities andCommission of Taiwan Investments CommissionAPPENDIX A The requested Authority﹁ contact officer for the purposes ofmaking requests under this Protocol on Information Sharing andCooperation Securities and Futures Commission of Taiwan Mr. Tien-wei Lou Director Division of International Affairs 85, Sec. 1 Hsin-Sheng South Road, 106 Taipei, Taiwan Telephone: + 886 2 8773 4196 Facsimile: +886 2 8773 4146 Email: tien-wei @sfc.gov.tw Australian Securities and Investments Commission Mr. Mark McGinness Manager Office of International Relations National Office Sydney Level 24 1 Martin Place Sydney 2001 Tel: + 61 2 9911 2050 Fax: + 61 2 9911 2634 Email: mark.mcginness@asic.gov.au |
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