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Article NO. Content

Title:

Taiwan Stock Exchange Corporation Regulations for Handling Deficiencies in Evaluation Reports or Other Related Information Submitted by a Securities Underwriter  CH

Amended Date: 2012.10.05
Article 10     After having imposed demerit points according to the preceding article, the TWSE should immediately report the same in writing to the competent authority for its acknowledgment, with a copy to the Taiwan Securities Association and GTSM. In the event that the assessment reports or other relevant information submitted by a securities underwriter are found to have breached the requirements under Article 25 of the Rules Governing Securities Firms, in addition to imposing demerit points on the underwriter pursuant to Articles 4 and 5, the TWSE shall also forward information about the relevant facts and evidence to the competent authority for further action.