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Article 56
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If a securities firm is in any of the following circumstances, the TPEx may issue a warning, or impose a penalty of not more than NT$300,000, and notify it to make supplementation or correction within a time limit:
- Violation of paragraph 1 of Article 12, Article 15, paragraph 1 or 3 of Article 16, Article 18, Article 22, Article 33, Article 34, or Article 40.
- Failure to make supplementation or correction or to pay a penalty within a time limit set pursuant to the preceding Article.
- Commission of a violation set forth in the preceding article, and the violation is of a material nature.
- Refusal, obstruction, or evasion of an inspection or examination by the TPEx or by a CPA designated by the TPEx.
- Misrepresentation, concealment, material omission, or obvious error in any relevant material presented by the securities firm.
- Occurrence of a serious information security incident on the trading platform.
- Material breach of a contract signed with the TPEx.
- Violation of laws or regulations of the competent authority where the violation is of a material nature.
Dispositions made pursuant to the preceding paragraph shall be filed with the competent authority for recordation.
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