Article NO. Content


Taiwan Stock Exchange Corporation Operation Procedures for Appeals Filed by Employees of Securities Firms in Disposition Cases 

Amended Date: 2023.08.23 (Articles 1, 2, 3, 4, 5, 6, 7, 8, 9 amended,English version coming soon)
Current English version amended on 2014.11.27 
Categories: Market Supervision > Regulation of Securities Firms
4     Upon receipt of an appeal case, the TWSE will convene a meeting of persons from relevant departments to review the appellant's qualification, the reasons for the appeal, and the supporting evidence or materials under Point 2.
    The appeal will be rejected if not filed by the appellant within the time limit under Point 2, the appellant is not qualified, the reason for the appeal is not related to the original disposition, or the appellant has not supplemented incomplete documents, data, or content within the time limit prescribed by the TWSE.
    If the TWSE rejects an appeal pursuant to the preceding paragraph, it shall provide the appellant with a written notice of the reasons. An appellant who has an objection against the decision shall file an application for re-appeal with the TWSE, specifying the reasons, within 5 days counting from the day following receipt of the notice. An application for re-appeal may be made one time only.
     An appellant may withdraw the appeal through written notice prior to the convening of the Appeal Review Committee. The TWSE will close the case upon receipt of the notice of withdrawal.