• Font Size:
  • S
  • M
  • L

Article NO. Content


Taiwan Stock Exchange Corporation Regulations for Handling Deficiencies in Evaluation Reports or Other Related Information Submitted by a Securities Underwriter  CH

Amended Date: 2023.07.20 (Articles 10-1 amended,English version coming soon)
Current English version amended on 2021.03.31 
Categories: Primary Market > Review
10     After having imposed demerit points according to the preceding article, the TWSE should immediately report the same in writing to the competent authority for its acknowledgment, with a copy to the Taiwan Securities Association and TPEx. In the event that the assessment reports or other relevant information submitted by a securities underwriter are found to have breached the requirements under Article 25 of the Rules Governing Securities Firms, in addition to imposing demerit points on the underwriter pursuant to Articles 4 and 5, the TWSE shall also forward information about the relevant facts and evidence to the competent authority for further action.