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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
9      The TWSE shall provide notice of the resolution made by the Appeal Review Committee to the person subject to disposition, the securities firm where person worked when the fact occurred that provided cause for the disposition, and the securities firm where the person currently works, with a copy to the competent authority. The letter giving notice shall include the following:
  1. The appellant's name, their national ID number (or Alien Resident Certificate number), the year, month, and date of their birth, and their contact address. If the appellant is a juristic person, its name, business office, or operating location, and the name of its manager or representative, the year, month, and date of their birth, their ID number, and their domicile or residence.
  2. The facts, reasons, and legal basis for the resolution.
  3. The reference number and the year, month, and date of the notification.