Page 31 - 臺灣證券交易所2021年報

5) The TWSE implemented enhanced administrative measures for market activities where investors would place an unusually large number of orders before the market opens or closes and then cancel the orders. To address the situation and improve the quality of information disclosure, securities brokers may collect funds or securities from such customers in advance. 三、維持市場秩序 (一)市場監視作業:2021 年公布注意交易資訊之有價證券計 833 檔 5,041 次，採取 處置措施者計 239 檔 336 次。另於交易時間即時對新聞報導及網路訊息進行監看， 發現影響上市公司股票價格之重大訊息並請其公告澄清者計 16 次，執行跨市場 監視資訊通報計 12 次。 (二)電視投資理財節目之側錄、監看情形:2021 年側錄檢視 1,413 個電視投資理財節 目。節目分析人員言論明顯涉有違規情事已陳報主管機關者，計有 25 件、25 人 次。 (三)2021 年辦理 5 場次之「防範內線交易宣導說明會」(1 場實體暨 4 場線上宣導 會)，計有 1,013 人參加;6 場次之「內部人股權交易法律遵循宣導說明會」， 協助與會人員充分知悉規範。 3. Maintain Market Order 1) Market surveillance: In 2021, there were 5,041 announcements or notices of attention to trading information regarding 833 securities, and 239 disposition measure types taken 336 times. Furthermore, monitoring of news reports and internet messages during trading hours found 16 cases where material information affected listed companies’ stock prices and requests were issued to the listed companies for clarification. There were 12 information reports conducted on cross- market surveillance. 2) Recording and monitoring investment and wealth management television programs: In 2021, there were 1,413 such programs recorded and reviewed. Twenty-five program analysts were reported to the competent authority 25 times for making comments that clearly violated regulations. 3) In 2021, the TWSE held one in-person session and four online educational activities of the “Prevent Insider Trading Seminar,” with 1,013 participants. The TWSE also held six sessions promoting compliance with insider stock trading regulations to ensure that participants have sufficient knowledge of relevant regulations. 29