Investment Banking

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Investment Banking Business
  • Investment Banking Business

Initial Public Offering (IPO) on TWSE/TPEx

  • Provide planning assistance for the formation of capital structure and dividend policy.
  • Assist issuers in formulating plans and relevant schedules for listings on TWSE/TPEx in accordance with the capital structure, financial stability and shareholding structure of the respective issuers.
  • Provide evaluations and sample testing of the internal control system (accounting, auditing, and management systems).
  • Assist in the compilation and review of the offering prospectus.
  • Provide suggestions on the articles of association and other related regulations.
  • Review and evaluate the issuer’s inappropriate listing clause in accordance with listing on TWSE/TPEx.
  • Prepare “Evaluation Report of Stocks Listing on TWSE/TPEx”.
  • Liaise and coordinate with the Taiwan Stock Exchange Corporation (TWSE), /Taipei Exchange (TPEx) and the Securities and Futures Bureau.
  • Arrange analyst meetings (road shows) before listing.
  • Planning and consultation services on financial, business and share registration related to stock listing on TWSE/TPEx.

Domestic and Offshore Financing

  • Fund raising by rights offering, or equity-linked products such as bonds (convertible or exchangeable bonds) and preferred stocks.
  • Issue offshore financial products, including offshore corporate bonds (convertible or exchangeable bonds) and global depositary receipts.
  • Design innovative fund-raising tools.

Market making and promotion

  • Market Maker: Provide promotional events for TPEx Emerging Market Stocks.
  • Assist TWSE/TPEx-listed companies with road shows and promotional events.

Underwriting

  • Assist with competitive auction bidding, book building, public offering, and negotiated sales services.

Financial Advisory for Corporate Mergers & Acquisitions

  • Provide underwriting for state-owned enterprise privatization and public construction.
  • Provide advisory work for issuers: strategic investment, finding strategic partners, financial investors and other planning and advisory services related to spin-offs, reorganizations, and restructurings.
  • Provide cross-border investment banking services.
  • Provide Financial Planning: Make recommendations to firms at various stages of development as they determine their capital needs and devise plans accordingly. 

Emerging Stocks and Pioneer Stocks Market

  • Market making our sponsored/co-sponsored companies to increase trading liquidity during their Emerging Stock Market listing period.
  • Acting as liquidity providers for our sponsored/co-sponsored companies during their listing period in the Pioneer Stock Board. (PSB)