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Article NO. Content

Title：

Taiwan Stock Exchange Corporation Determination Standards and Handling Procedures for the Avoidance or Refusal of Examinations by 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
5     Where any of the following events occurs to the securities firm whose trading has been halted pursuant to the preceding article, the TWSE may terminate its Contract for the Use of Market in accordance with Article 141, Paragraph 1, Subparagraph 8 of the TWSE Rules:
  1. Its avoidance or refusal of examinations falls within any of the situations prescribed in Paragraph 2, 4, 5, or 6 of Article 141 of the TWSE Rules, and it fails to present the relevant account books, certificates and other materials within one week from its trading being halted.
  2. Its avoidance or refusal of examinations falls within situations that are not referenced in the preceding paragraph, and it fails to present the relevant account books, certificates and other materials within two weeks from its trading being halted.

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