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138
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Where any securities firm commits any of the following acts, the TWSE may impose a penalty in an amount not more than NT$2 million:
- 1.violation of paragraph 5 of Article 25, paragraph 2 of Article 28, paragraph 2 of Article 28-1, Article 30, Article 37, Article 75, subparagraph 9, Article 77, paragraph 1 of Article 80 or Article 86.
- 2.failure to make correction or improvement within the time limit designated in accordance with Article 136.
- 3.failure to pay the fine within the time limit specified in paragraph 3 of Article 137.
- 4.having been warned twice in accordance with Article 136 within the most recent half year.
Where a securities firm violates any provisions of other TWSE bylaws, rules, or the market usage contract, the TWSE may impose a penalty in an amount of NT$1 million or less, depending upon the seriousness of the matter.
Where a securities firm violates the provision of any subparagraph of paragraph 1 and paragraph 2 for the second time within the most recent half year, the TWSE may impose a penalty in an amount of NT$4 million.
Where any securities firm commits the offense specified in subparagraph 2 of paragraph 1, the TWSE shall send a second notice setting forth a time limit for its correction or improvement.
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