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Article NO. Content

Title:

Regulations Governing Securities Firms  CH

Amended Date: 2020.10.29 (Articles 14-6, 21, 32-1, 35-2, 68-1 amended,English version coming soon)
Current English version amended on 2020.02.03 
Article 14-1     Where any of the following circumstances applies to a securities firm, the FSC may reject its filing to carry out a capital increase for cash or issue corporate bonds; provided, this restriction shall not apply where the reason is a merger of securities firms, or where concrete improvement has been made, and the improvement has been recognized by the FSC:
  1. It has been sanctioned by the FSC under Article 66, subparagraph 1 of the Act within the past 3 months.
  2. It has been sanctioned by the FSC under Article 66, subparagraph 2 of the Act within the past half year.
  3. It has been sanctioned by the FSC under Article 66, subparagraph 3 of the Act within the past 1 year.
  4. It has been sanctioned by the FSC under Article 66, subparagraph 4 of the Act within the past 2 years.
  5. It has had its trading rights terminated or restricted by the TWSE, the TPEx, or the Taiwan Futures Exchange (the TAIFEX) pursuant to bylaws thereof within the past 1 year.
    Calculation of the periods in the subparagraphs of the preceding paragraph shall commence from the date of issuance of the disposition letter by the FSC, the TWSE, the TPEx, or the TAIFEX.