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Article NO. Content


Taiwan Stock Exchange Corporation Directions for Securities Firms Handling Changes to Trading Category  CH

Amended Date: 2015.12.24 
Categories: Securities Exchange Market > Trading > Securities Transaction
4     Violation:
  1. (Deleted)
  2. (Deleted)
  3. (Deleted)
  4. The TWSE will give notice of improvement pursuant to Article 135 of the Operating Rules where an entry for information changes is not made by the prescribed time, unless there is good cause and approval of the TWSE is granted.
  5. Where there are serious violations regarding changes to trading category, the TWSE may discipline the securities firm pursuant to Articles 135 and 136 of the Operating Rules and give warning to its violating supervisor or to halt his business activities for one to six months pursuant to Article 144 of the Operating Rules.