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141
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Where a securities firm commits any of the following acts, the TWSE may restrict or suspend the trading, in whole or in part, of its dealing or brokerage business or at its business premises or terminate the market usage contract:
- violation of Article 30 by making false statements or reports to the TWSE that result in damages to the TWSE or others.
- violation of Article 83, paragraph 1 by producing false records and vouchers.
- violation of Article 89 by offsetting outside the Exchange or transacting outside the Exchange or transacting securities that are not listed by the TWSE without the approval of the Competent Authority.
- violation of Article 75, subparagraph 5 or having any event set forth in Article 90, paragraph 1 or Article 94, paragraph 2 that seriously damages the rights and interests of the principal, which has been verified by the TWSE.
- violation of Article 83, paragraph 5 of, Article 96, or Article 97.
- a disposition under Article 142, paragraph 1, subparagraph 4, where corrections have not been made after 3 months.
- any events set forth in Article 3 of the Regulations Governing Special Inspection of and Guidance to Securities Firms as prescribed by the TWSE, and has not been able to improve after being subject to guidance for several times.
- failure to present relevant account books or certificates within a specified time limit, after being subject to a disposition under Article 142, paragraph 1, subparagraph 1.
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