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Article NO. Content


Taiwan Stock Exchange Corporation Operation Procedures for Appeals Filed by Employees of Securities Firms in Disposition Cases  CH

Amended Date: 2014.11.27 
Categories: Market Supervision > Regulation of Securities Firms
2     An appeal may be filed with the TWSE by a person subject to a disposition, the securities firm where the person was employed when the fact occurred that provided cause for the disposition, or the securities firm where the person is currently employed ("appellant"), by the date specified in the TWSE's written notice of the disposition or within 30 days counting inclusively from the day following receipt of the notice (whichever comes later). The appeal shall specify the following information in writing and append supporting evidence or materials:
  1. The name, national ID number (or Alien Resident Certificate number), year, month, and date of birth, and contact address of the person subject to the disposition. If the appellant is a juristic person, the name and address of the company, the name of its representative, the year, month, and date of their birth, and their ID number (or Alien Resident Certificate number) and contact address.
  2. The reference number, effective date of the disposition, and the name, article, and paragraph number(s) of the law or regulation violated, as stated in the original notice of disposition.
  3. The reasons for disagreeing with the disposition imposed by the TWSE, and the modifications that the appellant requests be made to the disposition.
    If the appeal is filed by a securities firm, a consent form from the person subject to disposition shall be attached.