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Article 55
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If a securities firm is in any of the following circumstances, the TPEx may notify it to make supplementation or correction within a time limit, and in addition may impose a penalty of not more than NT$100,000:
- Violation of Articles 5 to 11, paragraph 3 of Article 12, Article 14, paragraph 2 of Article 16, Article 19, Article 20, Article 23, Article 24, paragraph 1 of Article 30, paragraph 1 or 2 of Article 31, Article 32, paragraph 2 or 3 of Article 35, paragraph 3 or 4 of Article 36, paragraph 2 of Article 37, paragraph 1 or 2 of Article 39, paragraphs 4 to 6 of Article 41, Articles 42 to 44, or Articles 46 to 53.
- Failure to confirm or control the limit on the amount purchased and balance held by a professional investor who is a natural person in accordance with paragraph 3 of Article 31 or Article 45.
- Failure to submit, by the 7th day of each month, the monthly accounting summary and income statement for the preceding month in accordance with paragraph 2 of Article 12, or failure to file by the required deadline a summary of the data relevant to the security tokens that it has issued for an issuer or on its own in accordance with Article 13, or failure to provide information to the TPEx, a CPA designated by the TPEx, or the centralized securities depositary enterprise by a required deadline.
- Violation of any other provision of these Rules or other relevant requirements.
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