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Article NO. Content


Taiwan Stock Exchange Corporation Operational Guidelines for Follow-up, Assessment, and Guidance in Regard to Securities Firm Audit Deficiencies  CH

Amended Date: 2002.02.01 
Categories: Market Supervision > Regulation of Securities Firms
Article 6     When there has been no correction in a securities firm's audit deficiency following provision of guidance, the TSEC may impose more serious penalties against the securities firm or its relevant personnel in accordance with applicable regulations, and shall report the same to the competent authority.