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友善列印
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Article NO. Content

Title:

Operating Rules of the Taiwan Stock Exchange Corporation  CH

Amended Date: 2021.01.29 (Articles 49, 49-1, 49-2, 49-3 amended,English version coming soon)
Current English version amended on 2020.05.05 
Categories: Basic Laws and Regulations
Article 138     Where any securities firm commits any of the following acts, the TWSE may impose a penalty in an amount not more than NT$300,000:
  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$300,000 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$500,000.
    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.