Taiwan Stock Exchange - Rules & Regulations Directory
Article NO. Content
Where it is discovered by the TWSE that any securities firm is suspected to have violated Article 5, paragraph 2, Article 27, Article 78, Article 85, paragraph 1, or other relevant provisions of the Securities and Exchange Act, the matter shall be reported to the Competent Authority for its disposition.
Where any securities firm or securities underwriter is suspected to have violated the provisions of Article 5, paragraph 2, the matter shall be dealt with by the TWSE in accordance with relevant regulations and shall be reported to the Competent Authority for its recordation.
The TWSE shall, pursuant to the resolutions adopted by the Special Management Committee formed in accordance with the Regulations for Management of Clearing and Settlement Fund under Joint Responsibility System, reduce the trading volume of securities by a securities firm for its own account or on the account of its principals, or restrict or halt its trading, and shall report the matter to the Competent Authority.
The TWSE may, on the grounds of a disposition by the GreTai Securities Market to halt or suspend trading by a securities firm, render an appropriate disposition with respect to the same securities firm, and submit it for recordation by the Competent Authority and post-approval by the TWSE's board of directors.
- Operating Rules of the Taiwan Stock Exchange Corporation § 5、27、78、85 (2020.05.05)