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Article NO. Content

Title:

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

Amended Date: 2023.08.23 
Categories: Market Supervision > Regulation of Securities Firms
3     Upon receipt of an appeal case, the TWSE will convene a meeting of persons from relevant departments to review the appellant's qualification, the reasons for the appeal, and the supporting evidence or materials under Point 2.
    The appeal will be rejected if not filed by the appellant within the time limit under Point 2, the appellant is not qualified, the reason for the appeal is not related to the original disposition, the same appellant files a duplicate appeal against the same case involving the person subject to disposition, or the appellant has not supplemented incomplete documents, data, or content within the time limit prescribed by the TWSE.
    If the TWSE rejects an appeal pursuant to the preceding paragraph, it shall provide the appellant with a written notice of the reasons. An appellant who has an objection against the decision shall file an application for re-appeal with the TWSE, specifying the reasons, within 5 days counting from the day following receipt of the notice. An application for re-appeal may be made one time only.