|
Article 53
|
When any of the following circumstances applies to a securities firm, the TPEx may issue a warning and notify it to take supplementary or corrective action within a prescribed time period:
- Violation of Article 4, Article 14, paragraph 3, Article 29, Article 30, Article 37, Article 37-1, paragraph 1, subparagraphs 1, 3, or 4, or paragraph 2, Article 39, Article 40, Article 43, or Articles 45 to 50.
- Failure to take supplementary or corrective action within the time period prescribed in the preceding article.
- A violation of these Regulations or of related TPEx Regulations such as to affect the rights and interests of investors or orderly trading in the market.
|