Taiwan Stock Exchange - Rules & Regulations Directory

Amendments

Title:
Operating Rules of the Taiwan Stock Exchange Corporation(2007.06.29)

Article 138
Where any securities firm commits any of the following acts, this Corporation may impose a penalty in an amount not more than three hundred thousand New Taiwan Dollars:
1. violation of Paragraph 4 of Article 25, Paragraph 2 of Article 28, Paragraph 2 of Article 28-1, Article 37, Article 75, subparagraph 9, Article 77, Paragraph 1 of Article 80 or Article 86.
2. failure to make correction or improvement within the time limit designated in accordance with Article 136.
3. failure to pay the fine within the time limit specified in Paragraph 3 of Article 137.
4. having been warned twice in accordance with Article 136 within the most recent half year.
Where a securities firm violates the provision referred to in any Subparagraph of the preceding Paragraph for the second time within the most recent half year, this Corporation may impose a penalty in an amount of five hundred thousand New Taiwan Dollars.
Where any securities firm commits the offense specified in Subparagraph 2 of Paragraph 1, this Corporation shall send a second notice setting forth a time limit for its correction or improvement.

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