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Article NO. Content


Taiwan Securities Association Rules Governing Underwriting and Resale of Securities by Securities Firms  CH

Amended Date: 2023.11.30 (Articles 4-1, 22-1, 30, 40, 43, 43-1, 44, 54, 73 amended,English version coming soon)
Current English version amended on 2016.04.12 
Article 86      If a securities firm violates any law or regulation or these Rules, measures will be taken in accordance with the Taiwan Securities Association Rules for Handling Deficiencies in Underwriting Business Conducted by Underwriters. However, if the circumstances of the violation are serious, the matter shall additionally be referred to the disciplinary committee for a decision on its handling. Upon a resolution by the Board of Directors of the Taiwan Securities Association, the matter may be reported to the FSC.