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Article NO. Content


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 6     The TWSE shall, after performing a targeted examination, take the following measures, prepare an examination report and submit the same along with the examination results to the competent authority for recordation:
  1. Report to the competent authority for further handling any violation of laws or regulations discovered.
  2. Impose penalty pursuant to applicable provision against violation of rules of the TWSE.
  3. Provide guidance for the securities firm in drafting an improvement plan or solution plan with respect to its financial, sales and internal control systems with respect to any of the events listed in Article 3, and oversee the exact implementation of the plan.
  4. Other necessary measures.