Securities and Exchange Act Article 66
If a securities firm violates this Act or any order issued hereunder, in addition to being subject to the punishment provided under this Act, the Competent Authority may, depending on the severity of the situation, impose any of the following sanction, and may order the securities firm to correct the violation within a prescribed period:1. Warning.2. Order the securities firm to remove a director, supervisor, or managerial officer from their office.3. Suspending the business, in whole or in part, of the company or its branch for a period of not more than six months.4. Withdraw or revoke the business permission of the company or its branch.5. Other necessary measures.
中文原文 證券交易法第66條
證券商違反本法或依本法所發布之命令者，除依本法處罰外，主管機關得視情節之輕重，為下列處分，並得命其限期改善：
一、警告。
二、命令該證券商解除其董事、監察人或經理人職務。
三、對公司或分支機構就其所營業務之全部或一部為六個月以內之停業。
四、對公司或分支機構營業許可之撤銷或廢止。
五、其他必要之處置。
一、警告。
二、命令該證券商解除其董事、監察人或經理人職務。
三、對公司或分支機構就其所營業務之全部或一部為六個月以內之停業。
四、對公司或分支機構營業許可之撤銷或廢止。
五、其他必要之處置。