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Article NO. Content


Taiwan Stock Exchange Corporation Rules Governing Implementation of the Stock Market Surveillance System  CH

Amended Date: 2011.05.18 
Categories: Market Supervision > Stock Market Surveillance
Article 6     If a securities firms violates these Rules or, when orders to buy or sell abnormally traded securities are placed, fails to take the necessary steps to comply with account opening procedures, creditworthiness assessment procedures, investment review performance procedures, and order brokering procedures, the TWSE may, subject to the seriousness of the violations, instruct the securities firm to make improvement, warn the securities firm, and restrict or halt buying and selling by the securities firm under Articles 135, 136, and 141 of the Operating Rules.