| Title： |
Operating Rules of the Taiwan Stock Exchange Corporation(2004.03.01) |
| Date： |
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Article 141
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Where any securities firm commits any of the following acts, this Corporation may restrict or terminate the trading, in whole or in part, of its dealing or brokerage business or at its business premises or terminate the market usage contract:
1. violation of Article 30 by making false statements or reports to this Corporation that result in damages to this Corporation or others.
2. violation of Paragraph 1 of Article 83 by producing false records and vouchers.
3. violation of Article 89 by offsetting outside the Exchange or transacting outside the Exchange or transacting securities that are not listed by this Corporation without the approval of the Competent Authority.
4. violation of Subparagraph 5 of Article 75 or having any event set forth in Paragraph 1 of Article 90 or Paragraph 2 of Article 94 that seriously damages the rights and interests of the principal, which has been verified by this Corporation.
5. violation of Paragraph 5 of Article 83, Article 96, Article 97.
6. a disposition under subparagraph 4 of paragraph 1 of Article 142, where corrections have not been made after three months.
7. any events set forth in Article 3 of the "Regulations Governing Special Inspection of and Guidance to Securities Firms" as prescribed by this Corporation, and has not been able to improve after being subject to guidance for several times.
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Article 142
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Where any securities firm commits any of the following acts, this Corporation may temporarily suspend the trading, in whole or in part, of its dealing or brokerage business or at its business premises and report to the Competent Authority:
1. violation of Paragraph 2 of Article 25 by evading or rejecting the inspection or the inquires of personnel sent by this Corporation.
2. violation of the settlement obligation specified in Paragraph 1 of Article 113.
3. its net worth is less than one-half of its paid-in capital referred to in Paragraph 2 of Article 28-1 for six consecutive months.
4. self-owned capital adequacy ratio lower than 50 percent, where corrections have not been made after three months.
5. violation of the provisions of the Articles of Incorporation of this Corporation, these Rules, standards for consignment contracts, or other rules, regulations, public announcements, and circular letters of this Corporation to such an extent that it is likely to affect the trading, clearing, and settlement of transactions on the securities market.
This Corporation may resume its trading status where the actions set forth in Subparagraphs 1, 3, 4, or 5 of the preceding Paragraph have terminated.
Where any securities firm is suspended by this Corporation from trading in accordance with Subparagraph 2 of Paragraph 1, the number of days on which it is suspended from trading may be used to offset against the number of days during which trading shall be ceased pursuant to Paragraph 1 of Article 141.
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