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Article NO. Content

Title:

Securities and Exchange Act  CH

Amended Date: 2020.05.19 
Article 66 (Sanctions for Legal Violations by Securities Firms)
    Where a securities firm has violated this Act or any order issued hereunder, in addition to being subject to the punishment provided under this Act, the Competent Authority may, depending on the severity of the offense, impose any of the following sanctions, and furthermore may order the securities firm to correct the violation within a prescribed period:
  1. warning.
  2. ordering the securities firm to remove its directors, supervisors, or managerial officers from their office.
  3. suspending the business, in whole or in part, of the company or its branch for a period of not more than six months.
  4. voiding or revoking the business license of the company or its branch.
  5. other necessary measures.