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友善列印
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Article NO. Content

Title:

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
3     If the original disposition in an appeal case was a notice to the securities firm to suspend the employee's execution of business activities, the securities firm shall cease implementing the disposition from the day on which it files the appeal, or the day on which it knows of the appeal filed by the person subject to disposition or by the original securities firm where the person worked. Depending on the circumstances, the securities firm shall adopt one of the following measures, provide a written report to the TWSE for recordation, and provide a copy of the report to the Taiwan Securities Association:
  1. Adjusting the business activities of the person subject to disposition, assigning them activities different from those at the time the fact occurred that provided cause for the disposition.
  2. Adopting rules for supervising the person subject to disposition during the appeal period, if the person's business activities continue to be the same as those at the time the fact occurred that provided cause for the disposition.
     If the appeal is rejected, the appellant withdraws the appeal, or the Appeal Review Committee resolves to maintain the original disposition or change the period during which the appellant ceases business activities, implementation of the disposition shall continue from a date designated by a notice from the TWSE.