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Article 136
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Where any securities firm violates paragraph 4 of Article 25, Article 26, paragraph 2 or paragraph 3 of Article 58, subparagraph 5 of paragraph 1 and paragraph 3 of Article 75, paragraph 2 of Article 75-1, paragraph 2 of Article 75-2, Article 77-4, paragraph 5 of Article 80, Article 81, paragraph 1, 2, or 3 of Article 82, Article 82-1, paragraph 2 of Article 83, paragraph 1, 2, 3, 5, or 6 of Article 91, paragraph 2 of Article 91-1, paragraph 2 of Article 92, paragraph 2 or 3 of Article 94, or Article 113-1, or fail to make correction or improvement within the time limit designated in accordance with the preceding article, the TWSE may warn them or impose a breach penalty of not more than NT$300,000, and notify it to make correction or improvement within a prescribed time limit.
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Article 138
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Where any securities firm commits any of the following acts, the TWSE may impose a penalty in an amount not more than NT$1 million:
- 1.violation of paragraph 5 of Article 25, paragraph 2 of Article 28, paragraph 2 of Article 28-1, Article 30, 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 any provisions of other TWSE bylaws, rules, or the market usage contract, the TWSE may impose a penalty in an amount of NT$1 million or less, depending upon the seriousness of the matter.
Where a securities firm violates the provision of any subparagraph of paragraph 1 and paragraph 2 for the second time within the most recent half year, the TWSE may impose a penalty in an amount of NT$2 million.
Where any securities firm commits the offense specified in subparagraph 2 of paragraph 1, the TWSE shall send a second notice setting forth a time limit for its correction or improvement.
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Article 139
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Where a securities firm commits any of the following acts, the TWSE may suspend the trading, in whole or in part, of its dealing or brokerage business or at its business premises for a period of not more than 3 months:
- failure to make correction within the time limit designated by the TWSE for its violation of Article 24.
- having been imposed the penalty in accordance with Article 138 for three times or more within the most recent half year.
- failure to pay the penalty in accordance with Article 138.
- failure to make correction or improvement within the time limit prescribed in accordance with paragraph 3 of Article 138.
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Article 140
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Where any securities firm violates paragraph 1 or paragraph 3 of Article 28, paragraph 2 of Article 85, or Article 113, the TWSE may suspend trading by it for a period of not less than 3 months but not more than 6 months.
Where any securities firm has been halted from trading two times in any one year for violation of the provisions of Article 113, or has failed to meet the deadline for payment prescribed in accordance with Article 114, the TWSE may terminate its market usage contract.
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Article 141
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Where a securities firm commits any of the following acts, the TWSE may restrict or suspend the trading, in whole or in part, of its dealing or brokerage business or at its business premises or terminate the market usage contract:
- violation of Article 30 by making false statements or reports to the TWSE that result in damages to the TWSE or others.
- violation of Article 83, paragraph 1 by producing false records and vouchers.
- violation of Article 89 by offsetting outside the Exchange or transacting outside the Exchange or transacting securities that are not listed by the TWSE without the approval of the Competent Authority.
- violation of Article 75, subparagraph 5 or having any event set forth in Article 90, paragraph 1 or Article 94, paragraph 2 that seriously damages the rights and interests of the principal, which has been verified by the TWSE.
- violation of Article 83, paragraph 5 of, Article 96, or Article 97.
- a disposition under Article 142, paragraph 1, subparagraph 4, where corrections have not been made after 3 months.
- any events set forth in Article 3 of the Regulations Governing Special Inspection of and Guidance to Securities Firms as prescribed by the TWSE, and has not been able to improve after being subject to guidance for several times.
- failure to present relevant account books or certificates within a specified time limit, after being subject to a disposition under Article 142, paragraph 1, subparagraph 1.
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