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Article NO. Content


Taipei Exchange Rules Governing the Operation by Securities Firms of the Business of Proprietary Trading of Security Tokens  CH

Amended Date: 2023.03.02 (Articles 4, 41 amended,English version coming soon)
Current English version amended on 2022.02.10 
Article 57     If a securities firm is in any of the following circumstances, the TPEx may impose a penalty of not more than NT$600,000 on it, and notify it to make supplementation or correction within a time limit; if the securities firm fails to make the supplementation or correction within the time limit, the TPEx may continuously impose the penalty for each time until supplementation or correction is made:
  1. Failure to make supplementation or correction or to pay a penalty within a time limit set pursuant to the preceding article.
  2. Two or more instances of warning or penalty imposed under the preceding article within the past half year.
  3. Violation under the preceding two articles, where the violation is of a material nature such that it adversely affects market trading order or the rights or interests of investors.
    If there is another violation of paragraph 1 by a securities firm within the past half year, the TPEx may impose a penalty of NT$1 million.
    Dispositions made pursuant to this article shall be filed with the competent authority for recordation.