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友善列印
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Article NO. Content

Title:

Taipei Exchange Regulations Governing Over-the-Counter Trading of Financial Derivatives by Securities Firms  CH

Amended Date: 2023.08.21 (Articles 29 amended,English version coming soon)
Current English version amended on 2022.07.14 
Article 54     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.
  1. Violation of Article 5, Articles 8 to 10, Article 37-1, paragraph 1, subparagraph 2, Article 39, or Article 40.
  2. Failure to take supplementary or corrective action within the time period prescribed in the preceding article.
  3. 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.