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Article 54
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When any of the following circumstances applies to a securities firm, the TPEx may impose a penalty of not less than NT$50,000 and not more than NT$3 million.
- Violation of Article 5, Articles 8 to 10, Article 37-1, paragraph 1, subparagraph 2, Article 39, or Article 40.
- 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 that has a material effect on the rights and interests of investors or orderly trading in the market.
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