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Article NO. Content

Title：

Taiwan Stock Exchange Corporation Rules Governing Targeted Examinations of and Guidance to Securities Firms  CH

Amended Date： 2014.11.04 
Categories： Market Supervision > Regulation of Securities Firms
Article Content Content Search Article No. Search Legal Basis Amended Article Legislative History Chinese
Article 3     The TWSE shall perform a targeted examination upon discovering that any of the following occurs in respect of a securities firm:
  1. (Deleted)
  2. Receiving unsatisfactory ratings under the TWSE Rules Governing Early Warnings for Overall Operational Risk of Securities Firms, or incurring consecutive losses and having a net value below its paid-in capital by at least three-fifths.
  3. Receiving unsatisfactory ratings in the internal audit and showing no improvement in the assessment after receiving guidance.
  4. In material breach of laws or regulations or the rules of the TWSE and showing no improvement after being imposed multiple penalties by the competent authority or the TWSE.
  5. Having a regulatory capital adequacy ratio below the ratio stipulated in Article 66 of the Regulations Governing Securities Firms for three consecutive months.
  6. Other material unexpected events or matters instructed by the competent authority.

Relevant Laws：