Taiwan Stock Exchange - Rules & Regulations Directory

Article NO. Content

Title:

Taiwan Stock Exchange Corporation Determination Standards and Handling Procedures for the Avoidance or Refusal of Examinations by Securities Firms 

Amended Date: 2014.11.04 
Categories: Market Supervision > Regulation of Securities Firms
4
    Where a securities firm commits any of the acts stipulated in the preceding article, the TWSE may temporarily halt trading of its dealing or brokerage business and report to the competent authority pursuant to Article 142, Paragraph 1, Subparagraph 1 of the TWSE Rules. Where any employee of a securities firm is also involved in violation by avoiding or refusing the examinations above, the TWSE may halt said employee from executing business activities or cancel his registration pursuant to Article 144 of the TWSE Rules.

Relevant Laws:

Data Source:Taiwan Stock Exchange - Rules & Regulations Directory
twse-regulation.twse.com.tw