Activities
  1. 【著作】胥博懷弁護士が、月刊 ザ・ローヤーズ 2014年11月号において、『台湾での日系企業IPO(新規上場)の利点』を執筆しました(弁護士法人 第一法律事務所山本和人弁護士と共著)。
  2. 【公共参加】当事務所の蔡嘉政弁護士及び程威居弁護士は、東呉大学の法科大学院で開催される模擬法廷コンテストに参加する学生たちの訴訟実務経験の指導者として招かれました。
  3. 【講演活動】当事務所の盧偉銘弁護士が2013年11月29日に世新大学の会社法科目で「企業合併と買収実務事例」の講演に招かれます。
  4. 【公共参加】当事務所の盧偉銘弁護士、羅祖芳弁護士及び張琬婷弁護士が2013年11月20日に国立台湾大学の法科大学院で開催される「法曹のキャリアプラン講座~多元的な法曹像」に座長として出席します。
  5. 【公共参加】当事務所の蔡嘉政弁護士が2013年11月19日に東呉大学で「法曹のキャリアプラン講座」の講演に招かれます。
  6. 【講演活動】 当事務所の盧偉銘弁護士は2013年7月20日、台北律師公会 (Taipei Bar Association) 公司治理及企業併購委員会 (コーポレートガバナンスおよび企業買収合併委員会) を主宰し、世新大学法学院の胡韶雯助理教授をお招きし、「コーポレートガバナンスに関する法制度の改正と実務的発展」という題で講演をしていただきました。
  7. 【講演活動】 当事務所の盧偉銘弁護士は2013年6月22日、台北律師公会 (Taipei Bar Association) 公司治理及企業併購委員会 (コーポレートガバナンスおよび企業買収合併委員会) を主宰し、台湾大学法学院の邵慶平副教授をお招きし、「企業における証券取引法と侵権行為法の交錯 ― 裁判所による実務上の見解を例に」という題で講演をしていただきました。
  8. 【公共参加】 当事務所の盧偉銘弁護士、李師栄弁護士及び劉孟哲弁護士が、2013年5月30日に国立政治大学で開催された「法曹のキャリアプラン講座~多元的な法曹像」懇談会にパネリストとして?出席しました。
  9. 【公共参加】 当事務所の劉孟哲弁護士が、2013年4月17日に中華民国証券投資信託及び顧問商業協同組合に同行して北京中国証券監督管理委員会及び国家外国為替管理局を訪問しました。
  10. 【教育訓練】当事務所は、2013年3月29日、国立政治大学法学大学院の林佳和助教授を招いて「労働法規に関する問題の解析及び法改正の動向」を開催しました。
  11. 【公共参加】 当事務所の盧偉銘弁護士、蔡嘉政弁護士及び張君珮弁護士は2013年3月20日、国立台北大学で開催される「学生キャリアシリーズ講座 ― 『典型』と『非典型』の対話」と題するフォーラムに出席します。
  12. 【講演活動】 当事務所の劉康身弁護士が、財団法人生物技術開発センターの招待を受けたため、2013年3月14日、「個人情報保護法の施行細則及び企業がどうのように対応していくか」という講演を開きます。
  13. 【講演活動】 当事務所の劉孟哲弁護士は2012年7月24日社団法人台湾理財顧問認証協会の招待を受け、2013年3月12日に「金融サービス業における個人情報保護法施行のポイント及び法的責任」という題で講演を行いました。
  14. 【教育訓練】 当事務所は、2013年1月16日、林鈺雄教授を招いて「大法廷制度の特定テーマ講演」を開きました。
  15. 【講演活動】 当事務所の蔡嘉政弁護士が台北弁護士協会から2013年1月11日に「第二世代国民健康保険説明会」の座長として招かれました。
  16. 【教育訓練】 当事務所は、2013年1月8日、謝銘洋教授を招いて「特許新法に関する問題の探究及び評価分析-兼我が国における現行の知的財産法制に関する問題を論じる」を開きました。
  17. 【講演活動】 当事務所の盧偉銘弁護士は、会社組織研究発展協会から2012年11月29日に「企業コンプライアンス及び取締役会の秘書役のベストな実務フォーラム」におけるパネリストとしての出席依頼を受けました。
  18. 【研究計画】当事務所は中華民国証券投資信託および顧問商業同業公会 (SECURITIES INVESTMENT TRUST & CONSULTING ASSOCIATION OF THE R.O.C.) の委託を受け、「在台ファンドはいかに中国市場に参入販売するかに関する研究」について研究し、研究報告を提供しています。
  19. 【講演活動】 当事務所の盧偉銘弁護士は2012年11月24日、台北律師公会 (Taipei Bar Association) 公司治理及企業併購委員会 (コーポレート・ガバナンスおよび企業買収合併委員会) を主宰し、朱德芳副教授をお招きして「インサイダー取引の規範における最新の発展」と題してご講演いただきます。
  20. 【講演活動】 当事務所の盧偉銘弁護士は2012年10月13日、台北律師公会 (Taipei Bar Association) 公司治理及企業併購委員会 (コーポレートガバナンスおよび企業買収合併委員会) を主宰し、林仁光教授をお招きして「変動中のコーポレート・ガバナンス-ポスト世界金融危機の改革」と題してご講演いただきます。
  21. 【講演活動】 当事務所の盧偉銘弁護士ならびに劉孟哲弁護士は2012年8月16日、行政院金融監督管理委員会証券期貨局に招かれ、「外国口座税務コンプライアンス法 (FATCA) 規定の資産管理業者に対する影響について」と題して講演を行いました。
  22. 【講演活動】 当事務所の盧偉銘弁護士は2012年8月4日、台北律師公会 (Taipei Bar Association) に、「弁護士が裁判所から管理人、清算人などの職務に選任された際に直面する困難および不合理な扱いに関する問題座談会」のパネリストとして招かれました。
  23. 【講演活動】 当事務所の盧偉銘弁護士、劉孟哲弁護士ならびに頼宛瑩弁護士は2012年7月24日、中華民国証券投資信託および顧問商業同業公会 (SECURITIES INVESTMENT TRUST & CONSULTING ASSOCIATION OF THE R.O.C.) に招かれ、「個人情報保護法施行細則と金融業による対応の道」と題して講演を行いました。
  24. 【講演活動】 当事務所の盧偉銘弁護士は2012年4月7日、台北律師公会 (Taipei Bar Association) 公司治理及企業併購委員会 (コーポレート・ガバナンスおよび企業買収合併委員会) を主宰し、林國全教授を招きして「金融消費者保護法の初歩的分析」と題してご講演いただきました。
  25. 【公共参加】 当事務所の蔡嘉政弁護士は、台北律師公会 (Taipei Bar Association) 副祕書長に就任しました。
  26. 【講演活動】 当事務所の劉康身弁護士ならびに葉秋英顧問は2011年12月12日、中華民国証券商業同業公会 (Taiwan Securities Association) に招かれ、「個人情報保護法とその施行細則」と題して講演を行いました。
  27. 【公共参加】 当事務所の李師榮弁護士は、台北律師公会 (Taipei Bar Association) 祕書長に就任しました。

Lexgroup Newsletter from Lexcel Partners(Issue No. 276)
2017-07-25    
Instant Messaging
 
1.     Regulation on Instant Messaging Sofeware
 
On July 3, 2017, the Consumer Protection Commission, Executive Yuan issued a news release stating that the Ministry of Economic Affairs has proposed relevant draft Mandatory and Prohibitory Provisions of Standard Contracts for Instant Messaging Programs, which will be promulgated and enforced.  The regulations focus on the following:
 
(1) Disclosure of consumption-related information.
 
(2) Management of account and its usage.
 
(3) Maintenance of system security.
 
(4) Adoption of fair contractual provisions.
 
(5) Protection of personal information.
 
Reported by:Kangshen Liu/Chenchi Wang
 
Telecommunication
 
2.     Draft of Media Monopoly Prevention and Diversity Protection Act
 
The National Communications Commission ("NCC") preannounced Draft Media Monopoly Prevention and Diversity Protection Act ("Draft") on July 12, 2017, pursuant to which, among others, the following is not allowed:
 
(1) Integration between cable television system operators which have 20% or more of the total subscribers in Taiwan and among others wireless television enterprises, nationwide broadcasting enterprises or nationwide newspapers;
 
(2) Integration (such as merger, acquisition of 10% or more of issued share capital, acquisition of all of another media source's assets or its major assets or property etc.) among wireless television enterprises;
 
(3) The market share in media market (including but not limited to broadcasting business, wireless television business, nationwide newspaper, cable television business etc.) post integration reaches 1/3 or above;
 
(4) After integration, the integrated media holds 5 or more nationwide news channels, financial channels or channels producing news programs; or
 
(5) An enterprise and its related parties hold more than 3 cable television systems, multimedia content providers, wireless television enterprises, national broadcasting enterprises, news and financial channels, nationwide newspapers, and/or channel agencies.
 
Further, the Draft provides that banks, insurance companies and financial holding companies and their responsible persons shall not hold 10% or more of issued share capital of certain media enterprises (such as wireless television enterprises or cable television system operators who have 5% or more of the total subscribers in Taiwan etc.) or direct personnel, finance or business operation of such media enterprises.
 
Reported by:Kangshen Liu/Nereid Lin
 
Corporate
 
3.     Amendments to the "Regulations Governing the Exercise of Powers by Audit Committees of Public Companies”, “Regulations Governing Procedure for Board of Directors Meetings of Public Companies”, and “Regulations Governing Appointment of Independent Directors and Compliance Matters for Public Companies’’.
 
The Financial Supervisory Commission ("FSC") announced the amendments to the "Regulations Governing the Exercise of Powers by Audit Committees of Public Companies ","Regulations Governing Procedure for Board of Directors Meetings of Public Companies", and "Regulations Governing Appointment of Independent Directors and Compliance Matters for Public Companies."  The key points of the amendments are listed below:
 
(1) To enhance the transparency and to impose higher responsibility on the audit committee: In accordance with "Regulations Governing Procedure for Board of Directors Meetings of Public Companies", it is provided that the audit committee may ask relevant professionals to attend the meeting upon resolution (such relevant professionals shall leave when the discussion and voting is undergoing); where a member of the audit committee has conflict of interest in the matter to be discussed, he/she shall state the important aspects of the conflict of interest and shall avoid voting on such matters when the conflict is likely to prejudice the interests of the company, with recordation of the meeting minutes; a company shall record on audio or videotape the entire proceedings of its board of directors meeting, and preserve the recordings for at least five years (when there is a litigation on the discussion matter, the record shall be preserved until the end of such litigation).  
 
(2) To enhance the participation of independent directors in the board: In accordance with Article 7 of "Regulations Governing Procedure for Board of Directors Meetings of Public Companies", if a company has an independent director, each independent director shall attend in person any meeting concerning a matter that requires a resolution by the board of directors under Article 14-3 of the Securities Exchange Act, or shall appoint another independent director to attend as his or her proxy. In order to facilitate the supervisory function of independent directors, the amendments therefore prescribe that there must be at least one independent director in the meeting of the board of directors.
 
(3) To improve the disclosure on independent directors who have been elected over three terms (inclusive): In consideration of the independence and experience of independent directors and in reference to foreign laws, it is therefore stipulated that when an independent director who has been elected to more than three terms (inclusive) is nominated by the public company, the reason for said nomination shall be given upon the announcement of the nominee examination outcome and upon the election during the shareholder's meeting.
 
(4) Members of the special committee for mergers/consolidations or the special committee for tender offers may also become independent directors: Given that the members in such committees have the professional qualification and independence which meets the requirements for independent directors, it is therefore provided that such members may provide business, legal, financial, accounting services or consultations with regard to tender offers or mergers and acquisitions.  Subparagraph 7, Paragraph 1, Article 3 of "Regulations Governing Appointment of Independent Directors and Compliance Matters for Public Companies" is not applicable to such an event.
 
Reported by:Mike Lu/Jack Tai
 
Insurance
 
4.     Draft Amendments to the Regulations Governing Offshore Insurance Units
 
On June 28, 2017, the FSC announced a draft amendment to the Regulations Governing Offshore Insurance Units.  The proposed amendments stipulate that offshore insurance units ("OIU") shall perform Know Your Client ("KYC") procedures in accordance with relevant laws and regulations regarding anti-money laundering and counter terrorism-financing, which shall be included in the internal control and internal audit systems.  KYC procedures and risk level confirmation for all current clients shall be conducted again before December 31, 2017.  Further, the OIU may engage a qualified intermediate agency or an offshore professional to conduct the KYC procedures for offshore clients.
 
Reported by:Stacy Lo/Nereid Lin
 
5.     Amendments to the Regulations Governing Insurance Enterprises and Related Persons Conducting Transactions Other Than Loans
 
On June 30, 2017, the FSC promulgated amendments to the Regulations Governing Insurance Enterprises and Related Persons Conducting Transactions Other Than Loans.  Please refer to Item 14 of Issue No. 270 of the Lexgroup Newsletter for details.
 
Reported by:Stacy Lo/Nereid Lin
 
6.     Draft Amendments to the Regulations Governing Pre-sale Procedures for Insurance Products
 
On July 11, 2017, the FSC announced a draft amendment to the Regulations Governing Pre-sale Procedures for Insurance Products, which extends the scope subject to evaluation by an insurance company's insurance product evaluation team ("Evaluation Team").  The new matters to be evaluated by the Evaluation Team include performance of the asset allocation plan of an insurance product with a period in excess of one year and major life insurance products from which the submitted actuarial assumption differs substantially from its actual practice.  Also, the analysis of pricing reasonableness of an insurance product shall include pricing adequacy analysis.
 
Where any change or adjustment is made to the above to be evaluated by the Evaluation Team, the details as well as their response measures shall be subject to approval of the general manager and be reported to the board of directors.
 
Reported by:Stacy Lo/Nereid Lin
 
SITE & SICE
 
7.     Amendment to the Relaxation of the Investment Ceiling Restriction Regarding Seed Funds; the Ruling Regarding Application to use the CDS Index Transaction
 
(1)The FSC issued a ruling (with Ref No. Chin-Guan-Zheng-tao-Zi-1060021744) on June 30, 2017, to permit a securities investment trust enterprise ("SITE"), for the purpose of assisting in fund establishment or operation during the initial period and of assisting the fund to meet the qualifications, to apply for the FSC's approval to use the SITE's capital to invest in the onshore or offshore funds publicly offered and managed by itself, and is thus not subject to the 5% investment ceiling restriction, which restricts the investment to less than 5% of the net value of the SITE and of the preceding NAV of such invested funds.  However, the total amount of the funds invested in by the SITE shall be less than 40% of the SITE's net value.  An investment plan is also required, which should be included in the internal control system and be reviewed regularly.  Such investment positions shall be disclosed in the SITE's financial statements.
 
(2)The FSC issued a ruling (with Ref No. Chin-Guan-Zheng-tao-Zi-1060023388) on June 29, 2017, to permit a securities investment trust enterprise ("SITE") to apply for the FSC's approval to use CDS Index transaction.  Such transactions shall be stipulated in the trust agreement, the relevant risk of which shall be disclosed in the prospectus and shall give an example to illustrate the influence on the Fund's performance.  The scheme and control/management institution for such transaction are also required.  The above documents of the Fund which was established shall be amended accordingly and filed with the legal opinion for the FSC's approval.  In addition, the total amount shall be less than 40% of the Fund's NAV, which shall be calculated with the total market value and total nominal value of the other equity-related transactions for the purpose of improving investment efficiency.
 
Reported by:Jeffrey Liu/Edison Tang
 
8.     Relaxing the Investment Restrictions on ETFs and Index Funds
 
On May 17, 2017, three rulings were made by the FSC to relax the investment scopes and restrictions for ETFs and index funds offered by securities investment trust enterprises (“SITE'S”).  Please refer to Item 5 of Issue No. 273 of the Lexgroup Newsletter for our previous summary for such rulings.
 
Reported by:Jeffrey Liu/Nereid Lin
 
9.     Regulations Governing Leasing Idle Assets of Securities Investment Trust and Consulting Enterprises
 
On July 11, 2017, the FSC issued an interpretation on Regulations Governing leasing Idle Assets of Securities Investment Trust and Consulting Enterprises.  We summarize the major points below:
 
(1) The idle assets which can be leased should be limited to:
 
(a) those used for business purpose of self-owned real property and
 
(b) those used for business purpose of self-owned real property acquired from dissolved securities investment trust and consulting enterprises as a result of merger or acquisition.
 
(2) After signing the lease contract, the relevant documents shall be submitted for record to the FSC.
 
(3) The signed lease contract shall not be amended without FSC approval.
 
(4) The lease period is based on the lease contract parties’ determination.
 
Reported by:Jeffrey Liu/Allen Lai
 
10. Direction on Utilization of Robo-Adivisor by Securities Investment Consulting Enterprise
 
On June 26, 2017, the FSC authorized the “Direction on Utilization of Robo-Adivisor by Securities Investment Consulting Enterprise” submitted by the Securities Investment Trust and Consulting Association, providing the definition of Robo-Adivisor, relevant internal supervision, KYC, amongst other terms.
 
Reported by:Jeffrey Liu/Caitlyn Kao
 
Securities
 
11. Amendments to the Regulations Governing Public Tender Offers for Real Estate Investment Trust Beneficiary Securities
 
On July 4, 2017, the FSC announced the amendments to the Regulations Governing Public Tender Offers for Real Estate Investment Trust Beneficiary Securities, which we summarize below:
 
(1) To add that the public tender offeror in principle may not alter the time, method, and place of payment of the consideration for the tendered securities in order to avoid affecting the rights of the tenderer.
 
(2) To add that the public tender offeror shall submit a certificate of compliance with the ability to pay the consideration for the acquisition.
 
(3) To add that the mandated institution shall set up  a special account earmarked for the receipt and delivery of funds and securities, and also add a passive qualification of the mandated institution.
 
(4) To extend the ceiling of a public tender offer period from 30 days to 50 days.
 
Reported by:Jeffrey Liu/Caitlyn Kao
 
12. Draft Amendments to the Regulations Governing Offshore Securities Units
 
To meet the international standards for client identification procedures on offshore clients by Offshore Securities Units (“OSUs”), the FSC announced the draft amendments to the Regulations Governing Offshore Securities Units on July 17, 2017, which we summarize below:
 
(1) The amendments simplify the CPAs’ auditing report and certifying statements and financial information OSU operations. .
 
(2) In order to reinforce the client identification procedures of an OSU:
 
(a) The files, documents and information to be verified and required for OSU to conduct client identification procedure shall be provided.
 
(b) The files, documents and information to be verified and required for OSU to conduct client identification procedure shall be provided.
 
(3) An OSU may seek assistance from certain offshore institutions or professionals (lawyers or accountants) to conduct client identification procedures.
 
(4) An OSU shall not solicit or assist onshore clients in transferring to non-residents to open an account when conducting account opening business, and the relevant internal control systems shall be established.
 
(5) T The amendments will be enforced from January 1, 2018.
 
Reported by:Jeffrey Liu/Caitlyn Kao
 
Finance
 
13. Amendments to the Regulations of Self-Governance in Derivative Products of Banks
 
On July 7, 2017, the FSC promulgated amendments to the Regulations of Self-Governance in Derivative Products of Banks.  We summarize the amendments as follows: 
 
(1) Where a bank conducts a derivatives transaction which is not a structured product with professional clients other than professional institutional investors and high net-worth investment entities, and non-professional clients, the bank shall fully inform such clients of their client category and the appropriate risk level of the products; 
 
(2) Products with lower risks or complexity shall be provided to the said clients first for their selection, and the relevant records shall be kept; 
 
(3) Where the derivative products with complexity and high risks are traded for the said clients by a back-to-back transaction, the upper limit on transaction profit shall be disclosed in the transaction documents; and 
 
(4) Guidance of practice and ethics and compliance regulations shall be stipulated by the bank for its derivative products sales personnel.
 
Reported by:Stacy Lo/Nereid Lin
 
14. Draft Amendments to the Rules Governing the Business of Electronic Stored Value Card Issuers
 
On July 6, 2017, the FSC announced a draft amendment to the Rules Governing the Business of Electronic Stored Value Card Issuers.  The draft provides that where an issuer shares its terminal devices with other financial institutions and transmits transaction information of such sharing institutions, the types of transmission with lower impacts on consumers will not be subject to application to the FSC for approval.  For instance, the issuer, as well as the sharing institution, may transfer their own transaction information respectively into their own system and process such information respectively, or the issuer may, under engagement of the sharing institution, transfer transaction information to the sharing institution, provided that the issuer is not involved in processing of such information.
 
Further, due to their lower impact on consumers, the installation, test, maintenance, training and examination of the terminal devices or types of transmission of transaction information which are not involved with information processing may be performed by a third party.
 
Reported by:Stacy Lo/Nereid Lin
Editors:
Mike Lu (Partner)
Stacy Lo (Partner)
Jeffrey Liu (Partner)
Kang-Shen Liu (Partner)
David Tsai (Partner)
Counselors:
Echo Yeh
Sue Su
Shih-Jung Lee
Jolene Wang (Lexcel Partners IP)

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Areas of Practice

Litigations, dispute resolution and relief, cross border and China investment, drafting and negotiation of commercial agreements, corporate establishment and registrations, mergers & acquisitions, labor and employment matters, real estate, regulatory compliance, tax advice, securities transactions, bank financing, insurance, asset management, fair trade law, and intellectual property right related.

Award

Lexcel Partners was enlisted by Legal 500, as one of recommended firms in the areas of "Corporate and M&A", and "Labor" in Taiwan. Mike Lu, Echo Yeh, Sue Su, and David Tsai of Lexcel Partners were recommended.

Lexcel Partners was ranked by Bloomberg as one of top law firms in terms of deal count and quantity for Mergers and Acquisitions in Taiwan.

Lexcel Partners was enlisted by IFLR 1000 (International Financial Law Review) as one of recommended firms in the area of "Capital Market" and "Dispute Resolution" in Taiwan. Mike Lu and Echo Yeh were recommended.

Lexcel Partners was enlisted by Chambers Asia Pacific as one of the leading firms in the areas of "Corporate and M&A" in Taiwan. Echo Yeh and Sue Su were recommended.

Lexcel Partners was enlisted by Asialaw Profiles as one of leading firms in the areas of "Banking& Financial", "Capital Market", "Corporate and M&A", "Dispute Resolution", "Financial Service Compliance" and "Labor" in Taiwan.  Mike Lu, Echo Yeh and Sue Su were recommended.

編輯室的話
書寫是法律人的天職,各種形式的書寫,摘記的、論述的、分析的、翻譯的、符號的、推敲的,法律人在文字中衍繹、歸納、定位、尋求最近到最遠的邊緣,於是我們決定出版,誌念書寫的軌跡。