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Article 39
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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 Article 5, Article 8, Articles 10 to 12, paragraphs 3 or 4 of Article 13, Article 17, or Articles 22 to 33.
- Failure to provide information to the TPEx, the centralized securities depositary enterprise, or a CPA designated by the TPEx by a deadline set by the TPEx,
- Violation of any other provision of these Rules or other relevant requirements.
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