Securities Investment Trust and Consulting Act Article 103
Where a securities investment trust enterprise or securities investment consulting enterprise has violated this Act or any order issued hereunder, in addition to imposing other penalties pursuant to this Act, the Competent Authority may, depending on the severity of the offense, impose any of the following disposition:1.A warning.2.Order the securities firm to dismiss a director, supervisor, or managerial officer from their office.3.Suspend the whole or part of the enterprise's public offering or private placement of securities investment trust funds or taking on of new business for not more than two years.4.Suspend the whole or part of the business of the company or its branch for not more than six months.5.Revoke the business permission of the company or its branch.6.Any other necessary disposition.
中文原文 證券投資信託及顧問法第103條
主管機關對證券投資信託事業或證券投資顧問事業違反本法或依本法所發布之命令者，除依本法處罰外，並得視情節之輕重，為下列處分：
一、警告。
二、命令該事業解除其董事、監察人或經理人職務。
三、對該事業二年以下停止其全部或一部之募集或私募證券投資信託基金或新增受託業務。
四、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下之停業。
五、對公司或分支機構營業許可之廢止。
六、其他必要之處置。
一、警告。
二、命令該事業解除其董事、監察人或經理人職務。
三、對該事業二年以下停止其全部或一部之募集或私募證券投資信託基金或新增受託業務。
四、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下之停業。
五、對公司或分支機構營業許可之廢止。
六、其他必要之處置。