| Article 86 |
If a securities firm violates any law or regulation or these Rules, measures will be taken in accordance with the Taiwan Securities Association Rules for Handling Deficiencies in Underwriting Business Conducted by Underwriters. However, if the circumstances of the violation are serious, the matter shall additionally be referred to the disciplinary committee for a decision on its handling. Upon a resolution by the Board of Directors of the Taiwan Securities Association, the matter may be reported to the FSC.
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