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. 281)II
2017-10-11    
Financial
 
9.     Draft Amendment to the Regulations Governing Qualification Requirements for the Promoter or Responsible Persons of Financial Holding Companies and Concurrent Serving Restrictions and Matters for Compliance by the Responsible Persons of a Financial Holding Company
 
On September 21, 2017, the Financial Supervisory Commission ("FSC") announced a draft amendment to Paragraph 3, Article 4 of the Regulations Governing Qualification Requirements for the Promoter or Responsible Persons of Financial Holding Companies and Concurrent Serving Restrictions and Matters for Compliance by the Responsible Persons of a Financial Holding Company (the "Regulations").  According to the current Regulations, the chairman and general manager of a financial holding company cannot concurrently act as a chairman or a general manager of a non-financial company, and the draft amendment thereto includes "the person who is responsible for chairing a meeting of the board of directors or for comprehensive operation of business of a non-financial company" in the scope of such restrictions.
 Reported by:Stacy Lo / Nereid Lin
10.     Draft Amendment to the Regulations Governing Foreign Exchange Business of Banking Enterprises
 
On September 14, 2017, the Central Bank announced a draft amendment to the Regulations Governing Foreign Exchange Business of Banking Enterprises, which we summarize as follows:
 
(1)   Minimum number of training course hours per year to be taken by personnel who engage in foreign exchange derivatives changes from 12 to 6, which will enter into effect upon January 1, 2018;
 
(2)   The procedures and required documents for application of foreign currency denominated collective investment trust account business or foreign currency denominated mutual fund business are consolidated and simplified, which will apply to other kinds of trust businesses involving foreign currency;
 
(3)   A customer may conduct foreign exchange receipts and disbursements or transactions over the Internet without a prior application at the counter of the bank in person;
 
(4)   A bank may issue foreign currency denominated financial bonds abroad and shall comply with relevant regulations, and the bank shall submit its issuance of foreign currency denominated financial bonds to the Central Bank for record afterwards instead of submitting in advance;
 
(5)   Approval of total position limits for transactions between NTD and foreign currency of a foreign bank may be provided by its regional head office or global head office.
 
Reported by:Stacy Lo / Nereid Lin
Banking
 
11.     Proprietary Trading of Reverse Repurchase Agreement in Foreign Bonds for Banks exempt from the Cap Limit.
 
In order to facilitate the development of the financial market, the FSC will publicize the rules to be followed by banks when applying for concurrent operation of underwriting of and proprietary trading in bonds, beneficiary securities, and asset-backed securities" to loosen the cap limit for banks in conditional transaction of proprietary trading in foreign bonds.
 
The FSC advised that based on the substantial risk-controlling principle to the foreign bond positions held by the bank, and in consideration of the risk tolerance of the bank when operating the business in foreign bonds, the FSC will stipulate that for banks concurrently operating in foreign-bond trading, the balance for the "repurchase agreement" in foreign bonds shall not exceed 30% of the net worth of the bank in the previous year following the final accounting.  As for the trading balance of foreign bonds purchased under "reverse repurchase agreements", such balances are exempt from being calculated into the cap limit and Article 9 of the "Rules Governing the Proprietary Trading of Foreign Bonds by Securities Firms," which provides that the trading limit shall be based on the allocated operating capital of the securities business in operation.
 
Reported by: Stacy Lo / Jack Tai
12. Rules Governing the Applications of Banks for Concurrently Conducting the Underwriting and Proprietary Trading of Bonds, Beneficiary Securities and Asset-backed Securities.
For banks applying for concurrent conducting the underwriting and proprietary trading of bonds, beneficiary securities and asset-backed securities, the rules are provided below:
(1)   The application for concurrent conducting the above business shall be resolved by the board meeting, and then be filed to the FSC with the operation plan for approval.
 
(2)   Upon the approval of concurrent conducting such businesses by the FSC, the bank shall apply for the permit to conduct such business in accordance with the "Standards Governing Establishment of Securities Firms".  The bank shall also log onto the web filing system of the Banking Bureau before conducting such business.
 
(3)   The capital amount to be allocated or designated by the bank shall be in accordance with the "Standards Governing Establishment of Securities Firms."  The bank shall also proceed in accordance with Paragraph 1, Article 28 of the Banking Act and Article 5 of the "Scope of Operation and Risk Management Standards for Banks Operating in Trust or Securities."
 
(4)   The bank shall include the position held for more than one year of the underwriting and proprietary trading for such business in its balance in investment in securities.
                                           
(5)   For banks concurrently operating in proprietary trading business of securities firms, the cap limit in Article 9 of the "Rules Governing Proprietary Trading of Foreign Bonds by Securities Firms " does not apply to the conditional transactions of foreign bonds.
 
(6)   Banks with the following situations cannot apply for concurrent operation in such business:
 
(i)          With the latest ratio of self-owned capital to risk-weighted assets not reaching the standard provided by the Banking Act;  
 
(ii)            with insufficient allowance for bad debts (losses);
 
(iii)           with accumulated losses in the last calendar year from the filing date;
 
(iv)          with an overdue loan in the last season of the filing date more than three (3) percent;
 
(v)         with one fine or more in the last calendar year from the filing date due to violations of banking laws and regulations, except where such violation has been corrected with recognition by the competent authority.
 
Reported by:Stacy Lo / Jack Tai
SITE/SICE
 
13.     Back-up Accounting Operation for Discretionary Investment Account of Securities Investment Trust Enterprises and Securities Investment Consulting Enterprises
 
On September 15, 2017, the FSC issued a ruling specifying the compliance requirements for securities investment trust enterprises and securities investment consulting enterprises (''SITE/SICE'') which delegate back-up accounting operations for discretionary investment account (including asset valuation, the calculation of net asset value, accounting etc.) to professional institutions (''Delegated Institution'').  We summarize the key points below:
 
(1)   SITE/SICE shall enter into an agreement in writing with the Delegated Institution;
 
(2)   SITE/SICE shall have a mechanism and ability to supervise the Delegated Institution, and its obligations and liabilities to the clients will not be exempted because of the outsourcing.  SITE/SICE shall set up relevant monitoring management measures in the internal control system, which shall be approved by the board of directors;
 
(3)   The Delegated Institution shall be equipped with professional abilities and the authorization by laws for the delegated business; and
 
(4)   Clients of discretionary investment business shall give written consent in relation to such an arrangement.
 
Reported by:Jeffrey Liu / Caitlyn Kao
 
14.     Identity Verification Mechanism of the Investors for Online Authorization Payment from the Debiting Bank.
 
On September 15, 2017, the FSC issued a ruling to confirm that it is an identity verification mechanism of the investors stipulated by Subparagraph 2, Article 12-1 of the Direction for Handling of Beneficiary Certificate Affairs, Subparagraph 2, Paragraph 2, item 3 of the Regulations Governing Electronic Trading of Onshore SITE Fund, and Subparagraph 2, Paragraph 2, item 3 of the Regulations Governing Electronic Trading of Offshore Fund that a securities investment trust enterprise, a master agent of an offshore fund, or a sales agent of a fund may allow clients which electronically open an account to log in to online banking and acquire the confirmation of the online authorization payment from the debiting bank.
 
Reported by:Jeffrey Liu / Edison Tang
 
Corporate Governance
 
15.     Regulations Governing Appointment of Independent Directors and Compliance Matters for Electricity Enterprises Whose Scale Reaches Certain Level
 
On September 22, 2017, the MOEA promulgated the Regulations Governing Appointment of Independent Directors and Compliance Matters for Electricity Enterprises Whose Scale Reaches Certain Level, which took effect on the same day.  Please refer to Lexgroup Newsletter No. 273 for more information.
 
Reported by:Kang-Shen Liu / Zachary Peng
 
Government Procurement
 
16.     Ruling Relating to the Provisions in Tender Document Permitting Joint Tendering
 
On September 22, 2017, the Public Construction Commission, Executive Yuan issued a ruling stating that where a government agency permits joint tendering in a procurement, the tender document shall not provide that the tender bond and performance bond shall only be paid by the representative tenderer or shall only be paid jointly by the joint tenderers.  Otherwise, it would violate Article 9 of the Regulations of Joint Tendering and restrict joint tendering suppliers' right of choice.
 
Reported by:Kang-Shen Liu / Zachary Peng
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.

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