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Article NO. Content

Title:

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

Amended Date: 2015.04.02
Article 5     If a violation report leads to any of the following results, the TWSE will, depending on the seriousness of the case, give at its discretion a reward of not more than NT$3 million:
  1. A final and unappealable criminal conviction is handed down by a court.
  2. The prosecutor assesses the facts of the crime in relation to the persons identified in the violation report and makes a disposition of deferred prosecution under Article 253-1 of the Code of Criminal Procedure, or makes a final and unappealable disposition of non-prosecution under Article 253 or 254 of the same Code.
  3. The competent authority renders a disposition under Article 56 or 66 of the Act, Article 103 of the Securities Investment Trust and Consulting Act, or renders another disposition, and the disposition is final and unappealable.
  4. In the case of a reported matter falling within the scope set forth in Article 2, paragraph 2, the respondent disgorges the profit to the company, or the right to disgorgement has been confirmed in a final and unappealable court judgment.
  5. The TWSE suspends the provision of trading information or terminates the contract for supply and use of trading information pursuant to the TWSE Regulations Governing the Use of Trading Information.
  6. The TWSE suspends trading of the securities of the respondent or terminates a contract for use of the market pursuant to any provision of Articles 139 to 141 of the TWSE Operating Rules.
  7. The TWSE alters the trading method or suspends trading of, or delists, the securities of the respondent pursuant to any provision of Articles 49 to 50-3 of the TWSE Operating Rules.
  8. The TWSE takes dispositive measures other than those set forth in the preceding three subparagraphs.
    If the same violation report leads to both or all of a court judgment of guilt, a disposition by the competent authority, or dispositive measures by the TWSE, the grand total of the rewards given by the TWSE shall not exceed NT$3 million.
    If a violation report is filed in the names of multiple informants, the reward money shall be distributed evenly among all of the informants. If multiple informants successively file reports addressing the same violation, the reward shall be given to the informant who first provides concrete evidence. However, if evidence or materials submitted by a subsequent informant provide important assistance toward dispositive measures by the TWSE, a disposition by the competent authority or a prosecutor, or a criminal conviction by a court judgment, the TWSE may also after deliberation give a reward to the subsequent informant.