|
Article 135
|
Where any securities firm violates Article 13, Article 16, paragraph 2 of Article 21, Article 23, paragraph 1 or 6 of Article 25, paragraph 3 of Article 28-1, paragraph 1 of Article 29, Article 33, Article 40, Article 68, subparagraph 1, 2, 3, 6, 8, or 11 of Article 75, paragraph 1 of Article 75-1, paragraph 1 of Article 75-2, Article 75-7, Article 76, Article 77-9, Article 79-1, paragraph 2, or 3 of Article 80, Article 80-1, paragraph 4 of Article 82, paragraph 3 of Article 85, Article 87, paragraph 2 of Article 93 or Article 95 hereof, the TWSE may notify it to make correction or improvement within a prescribed time frame, or, in addition thereto, impose a breach penalty of not more than NT$100,000.
Where any securities firm violates these Operating Rules, the Regulations Governing Brokerage Contracts, or other bylaws, rules, regulations, announcements, and circular letters of the TWSE, unless otherwise provided, the TWSE may notify it to make correction or improvement within a prescribed time frame, or, in addition thereto, impose a breach penalty of not more than NT$100,000.
|