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Amendments

Title：

Taiwan Stock Exchange Corporation Rules Governing Awards for Reporting on Unlawful Activities on the Securities Market  CH

Amended Date： 2023.04.10 
Categories： Market Supervision > Stock Market Surveillance
Article Content Content Search Article No. Search Amended Article Legislative History Chinese

Title： Taiwan Stock Exchange Corporation Rules Governing Awards for Reporting on Unlawful Activities on the Securities Market(2014.09.24)
Date：
Article 2     Under these Rules, reporting of the following unlawful activities is encouraged:
  1. Violation of any provision of Article 18, Article 20, Article 44, Article 96, Article 155, paragraph 1, Article 157, or Article 157-1, paragraph 1 of the Securities and Exchange Act.
  2. Violation of a criminal law in which the facts of crime involve the central securities exchange market.
  3. Misappropriation of funds or defalcation of assets of a listed company by its responsible person or any relevant person, in violation of a law or regulation or the company's articles of incorporation or internal control procedures, where the violation is likely to materially affect the company's operation and shareholders' rights and interests.
  4. Any of the following acts by a securities firm or its responsible person or employee:
    1. Violation of a law or regulation governing securities trading or an administrative disposition under a law or regulation.
    2. Violation of any provision of the Operating Rules, the Rules Governing Brokerage Contracts Of Securities Brokers of the Taiwan Stock Exchange Corporation (TWSE), or other TWSE rules or bylaws.
    3. Breach of any of the contract for use of the central securities exchange market, contract for computer connection, or contract for supply and use of trading information entered into with the TWSE.
    4. Trading activities in breach of the principle of good faith, where sufficient to cause damage to others.
  5. Violation of the provisions of Article 10, paragraph 1 of the Regulations Governing the Use of Proxies for Attendance at Shareholder Meetings of Public Companies.
  6. Breach by an information service provider of a contract for supply and use of trading information.
    Violations of Article 157 of the Securities and Exchange Act as referred to in subparagraph 1 of the preceding paragraph shall be limited to those by an insider holding shares through a nominee.