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Article 55
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If a securities firm is in any of the following circumstances, the TPEx may notify it to make supplementation or correction within a time limit, and in addition may impose a penalty of not more than NT$100,000:
- Violation of Articles 5 to 11, paragraph 3 of Article 12, Article 14, paragraph 2 of Article 16, Article 19, Article 20, Article 23, Article 24, paragraph 1 of Article 30, paragraph 1 or 2 of Article 31, Article 32, paragraph 2 or 3 of Article 35, paragraph 3 or 4 of Article 36, paragraph 2 of Article 37, paragraph 1 or 2 of Article 39, paragraphs 4 to 6 of Article 41, Articles 42 to 44, or Articles 46 to 53.
- Failure to confirm or control the limit on the amount purchased and balance held by a professional investor who is a natural person in accordance with paragraph 3 of Article 31 or Article 45.
- Failure to submit, by the 7th day of each month, the monthly accounting summary and income statement for the preceding month in accordance with paragraph 2 of Article 12, or failure to file by the required deadline a summary of the data relevant to the security tokens that it has issued for an issuer or on its own in accordance with Article 13, or failure to provide information to the TPEx, a CPA designated by the TPEx, or the centralized securities depositary enterprise by a required deadline.
- Violation of any other provision of these Rules or other relevant requirements.
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Article 56
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If a securities firm is in any of the following circumstances, the TPEx may issue a warning, or impose a penalty of not more than NT$300,000, and notify it to make supplementation or correction within a time limit:
- Violation of paragraph 1 of Article 12, Article 15, paragraph 1 or 3 of Article 16, Article 18, Article 22, Article 33, Article 34, or Article 40.
- Failure to make supplementation or correction or to pay a penalty within a time limit set pursuant to the preceding Article.
- Commission of a violation set forth in the preceding article, and the violation is of a material nature.
- Refusal, obstruction, or evasion of an inspection or examination by the TPEx or by a CPA designated by the TPEx.
- Misrepresentation, concealment, material omission, or obvious error in any relevant material presented by the securities firm.
- Occurrence of a serious information security incident on the trading platform.
- Material breach of a contract signed with the TPEx.
- Violation of laws or regulations of the competent authority where the violation is of a material nature.
Dispositions made pursuant to the preceding paragraph shall be filed with the competent authority for recordation.
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