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Taiwanese Corporate Criminal Liability and A Full List of The Relevant Statutes

  • Insights 2019/10/02

By  Hung Ou Yang

 

        Generally speaking, like German laws, Taiwan declines to impose criminal liability on corporations. The traditional rule is that "a legal entity cannot be blameworthy".[1]  Historically, as we can see, Prof. Otto von Gierke argued that corporations still may commit crimes, aiming to prove that corporate personality does exist.[2] However, this is not majority opinion in most civil law countries, including Taiwan. In most criminal law textbooks, the current theory with regard to corporate criminal liability still stresses that artificial entities cannot commit "illegal acts" and "bear responsibility" like natural persons. For most of the violations committed by or with regard to corporations, Taiwanese government would only impose administrative sanctions for corporate misconducts. Administrative sanctions traditionally are regarded not so severe as criminal punishment because the amount of the monetary fines imposed are less, and because administrative sanctions are classified as "order violations" other than "punishments" based on crimes. That being said, the character of retribution deeply rooted in punishments are not so obvious in order violations.

 

        When we check how the theories are put into practice in Taiwan, we have found a different story. For the past decades, as the Taiwanese laws have been amended or enacted with an aim to assist the government to achieve more administrative or public purposes, more and more Taiwanese laws allow the Taiwanese corporations to be punished as a criminal in terms of fines when the statutory elements are satisfied. As to the foreigners employed in Taiwan, it is also worth noted that Taiwanese prosecutors in practice still tend to prosecute natural persons like employees and senior officers who are involved in the illegal acts with regard to the corporate employers. Thus, this article intends to arrange a comprehensive list for corporations, their employees, and their senior officers to understand how the Taiwanese government is imposing corporate criminal liability so that they can save some legal compliance costs.        

 

        Before the readers check the full list arranged by this article for the purpose of compliance issues in Taiwan, it is worth noting that most of the Taiwanese statutes which provide for corporate criminal liability adopt a very similar rule used in the U.S. In New York Central & Hudson River Railroad Company v. United States, the U.S. Supreme Court upheld a statute which punished corporations.[3] The U.S. Supreme Court established the rule that corporate criminal liability can be imposed when an“agent or other person acting for or employing by [the corporation] acting within the scope o his employment”violated the statutes.[4] The U.S. courts later applied the respondeat superior principle used in New York Central & Hudson River Railroad Company for prosecuting corporations.[5] Here, the public policy the U.S. Supreme Court would like to support is that "the corporation which profits by the transaction, and can only act through its agents and officers, shall be held punishable by fine because of the knowledge and intent of its agents to whom it has intrusted authority to act in the subject-matter of making and fixing rates of transportation, and whose knowledge and purposes may well attributed to the corporation for which the agents act.”[6]

 

        Unlike the analysis in New York Central & Hudson River Railroad Company, we have not observed that Taiwanese courts or statutes clearly use the public policy to explain why Taiwanese laws can impose corporate criminal liability. However, because some statutes provide that corporations can be exempted from corporate criminal liability when the corporations or their representatives do their best to supervise or take precautionary actions, the Taiwanese Supreme Court stated that corporations can be punished when they fail to supervise their employees.[7] The reasoning implicates that the corporations shall pay much more attentions than before to supervise their employees by setting out clear internal rules and taking every step they can to avoid damages in terms of exempting the corporate criminal liability.

 

List of Taiwanese Corporate Criminal Liability Statutes (See Law & Regulation Database of The Republic of China, The Ministry of Justice of The Republic of China (Taiwan), available at https://law.moj.gov.tw/, last visited on 2019/8/12).

 

The General Provisions of this Code shall also apply to other laws and to rehabilitative measures that provide criminal punishment and confiscation unless the punishment is otherwise prescribed in these laws and measures.

  • Article 38
  1. Contraband shall be confiscated, whether it belongs to the offender or not.
  2. A thing used in the commission of or preparation for the commission of an offense or a thing derived from or acquired through the commission of an offense may be confiscated only if it belongs to the offender. If there are special provisions, these special provisions shall be followed.
  3. If a thing specified in the preceding paragraph is provided or obtained by natural persons, legal persons or an unincorporated body other than the offender without proper reasons, it may be confiscated. If there are special provisions, these special provisions shall be followed.
  4. If the whole or a part of a thing specified in the preceding two paragraphs cannot or shall not be confiscated, the value thereof shall be collected from the offender.(hereinafter referred as "compulsory collection")
  • Article 38-1

Proceeds of the crime that belong to the offender shall be confiscated. If there are special provisions, these special provisions shall be followed.

Proceeds of the crime obtained by natural persons, legal persons or an unincorporated body other than the offender under one of the following conditions shall be confiscated:

1. Knowingly obtain the illegal proceeds from the offender.

2. Obtain the illegal proceeds from the offender for free or at a cost that is considerably not reciprocal.

3. The party is benefited from illegal act committed by the offender for the said party.

If the entire or partial confiscation mentioned in the preceding two subparagraphs as above was failed or not appropriate, the value thereof shall be collected from the offender.

The proceeds of crime specified in paragraph 1 and 2 means any property derived from or obtained directly or indirectly, through the commission of an offence.

The proceeds of crime having been legally returned to the victim shall not be confiscated or collected.

 

Where any representative of a legal person, or any agent, employee, or staff member of a legal or natural person violates human trafficking crime in the course of conducting normal business operation, the legal or natural person shall be imposed with a fine in accordance with the respective provisions of each human trafficking crime. However, if the natural person or the representative of a legal person has tried his/her best to prevent the occurrence of the offense, he or she shall be exempted.

  • Article 2, Subparagraph 2

The terms used in this Act are defined as follows:

2. Offenses of human trafficking:

Referring to acts of human trafficking conducted in violation of this Act, the Criminal Code, Labor Standard Law, or Child and Youth Sexual Exploitation Prevention Act, or other related laws.

  • Article 31

Anyone using such means as debt bondage or another person's inability, ignorance, or helplessness to force him/her into sexual transactions for profit, shall be sentenced to imprisonment ranging from six months to five years, and may also be fined up to NT$3 million.

Any attempt to commit the crime stated in the above paragraph is punishable.

  • Article 32

Anyone using such means as force, threat, intimidation, confinement, monitoring, drugs, fraud, hypnosis, or other means against another person's will to labor to which pay is not commensurate with the work duty for profit, shall be sentenced to imprisonment under seven years, and may also be fined up to NT$5 million.

Anyone using such means as debt bondage or the abuse of another person ’ s inability, ignorance, or helplessness to subject him/her to labor to which pay is not commensurate with the work duty for profit, shall be sentenced to imprisonment under three years, and may also be fined up to NT$1 million.

Any attempt to commit either crime stated in the preceding two paragraphs is punishable.

  • Article 33

Anyone recruiting, transporting, delivering, receiving, harboring, hiding, brokering, or accommodating another person under 18 years of age in order to subject him/her to labor exploitation or underpayment for profit, shall be sentenced to imprisonment under seven years, and may be fined up to NT$5 million.

Any attempt to commit the crime stated in the preceding paragraph is punishable.

  • Article 34

Anyone using such means as force, threat, intimidation, confinement, monitoring, drugs, fraud, hypnosis, or other means against another person's will to subject him/her to organ harvesting for profit, shall be sentenced to imprisonment over seven years, and may be fined up to NT$7 million.

Anyone using such means as debt bondage or abusing another person's inability, ignorance, or helplessness to subject him/her to organ harvesting for profit, shall be sentenced to imprisonment ranging from five to twelve years, and may also be fined up to NT$5 million.

Anyone recruiting, transporting, delivering, receiving, harboring, hiding, brokering, or accommodating a person under 18 years of age in order to subject him/her to organ harvesting for profit, shall be sentenced to imprisonment over seven years, and may be fined up to NT$7 million.

Any attempt to commit any of the crimes stated in the preceding three paragraphs is punishable.

 

Where a representative of a legal entity, an agent of a legal entity or a natural person, an employee or other workers committing the offenses described in Article 3 to Article 6 under the performance of duties, in addition to the punishments imposed on the actor, the legal entity and the natural person shall also be penalized for the fines described in the corresponding Articles accordingly. Nevertheless, this provision does not apply to legal entities or natural persons that have fulfilled their supervision responsibilities or have taken preventive actions against the occurrence of victims or offenses.

  • Article 3

The person initiating, hosting, controlling or directing a criminal organization must be sentenced to imprisonment for not less than three years but not more than ten years; in addition thereto, a fine of not more than TWD 100,000,000 may be imposed; a participant of such criminal organization shall be sentenced to imprisonment for not less than six months but not more than five years; in addition thereto, a fine of not more than TWD 10,000,000 may be imposed. Nevertheless, where the level of participation is considered minor, the punishment may be reduced or omitted.

Where public servant or an elected public official from elections commits the offense described in the preceding paragraph, the punishment thereof shall be increased by up to one half.

For the person committing the offense described in Paragraph 1, before the execution of the punishment, he or she shall be committed to a labor establishment to perform compulsory labor for a period of three years.

For the "compulsory labor" described in the preceding paragraph, the provisions of Paragraph 2 of Article 90, Paragraph 3 of Article 90, Paragraph 2 and Paragraph 3 of Article 98 of the Criminal Code apply.

Where a person using verbal, action, text or other methods to explicitly or implicitly express that he or she is a member of a criminal organization or is associated with a criminal organization or its members in order to demand others to perform any one of the following actions, such person shall be sentenced to imprisonment for not more than three years; in addition thereto, a fine of not more than TWD 3,000,000 may be imposed:

1. To sell property, provide investment or shares of a commercial entity or abandon the right of business operation.

2. To cooperate in handling procedures for urban renewal and reconstruction.

3. To purchase products or pay labor remunerations.

4. To accept debts or accept the results of debt negotiations.

The "criminal organization" described in the preceding paragraph is not required to be an existing one.

Where a person causes others to perform non-obligated matters or hinders the exercise of rights by others based on the actions described in Paragraph 5, the same punishment described in Paragraph 5 is applied.

An attempt to commit an offense specified in Paragraph 5 and Paragraph 7 is punishable.

  • Article 4

A person recruiting others to join a criminal organization is sentenced to imprisonment for not less than six months but not more than five years; in addition thereto, a fine of not more than TWD 10,000,000 may be imposed.

Where an adult recruits’persons under the age of eighteen to join a criminal organization, the punishment described in the preceding paragraph shall be increased by up to one half.

A person using threats, violence or other illegal methods to cause others to join a criminal organization or hinder its member from departing such organization is sentenced to imprisonment for not less than one year but not more than seven years; in addition thereto, a fine of not more than TWD 20,000,000 may be imposed.

An attempt to commit an offense specified in the preceding two paragraphs is punishable.

  • Article 6

Any person not a member of a criminal organization but who has provided financial assistance to a participant of a criminal organization shall be punished with imprisonment of not less than six months but not more than five years concurrently with a fine of not less than ten million New Taiwan dollars.

 

A legal person shall be held severally liable for any offence set out in Article 8 or Article 9 committed by its representative, agent, employee or staff during the performance of duty and charged with corresponding penalty.

  • Article 8

If any person directly or indirectly collects or provides property or property interests for another person in the knowledge that the other person prepares for specific plans or activities to commit any of the following offenses for the purposes of causing death or serious bodily injury to unspecified persons to intimidate the public or pressure the government, a foreign government, a foreign institution or an international organization, that person shall be punished by imprisonment for not less than one year but not more than seven years and a fine of up to NTD ten million:

1. Offenses of Articles 173(I) and (III), 176 applying Article 173(I) and (III), 178(I) and (III), 183(I) and (IV), 184(I), (II) and (V), 185, 185-1(I) to (V), 185-2, 186-1(I), (II) and (IV), 187-1, 187-2(I), (II) and (IV), 187-3, 188, 190(I), (II) and (IV), 190-1(I) to (III), 191-1, 192(II), 271(I) and (II), 278, 302, 347(I) to (III), 348, 348-1 or offenses specified in Articles 358 through 360 against the computers and related equipment of a public office, of the Criminal Code.

2. Offenses of Article 7 of Controlling Guns, Ammunition and Knives Act.

3. Offenses of Article 100 of Civil Aviation Act.

Any person attempting to commit an offense specified in the preceding paragraph is punishable.

  • Article 9

A person who directly or indirectly collects or provides any property or property interests for another person in the knowledge that the other person is one of the following individuals, legal persons or entities shall be sentenced to a term of imprisonment, of which not less than six months and not more than five years, along with a fine up to NTD 5,000,000:

1. An individual, legal person or entity designated pursuant to Articles 4(I) or 5(I).

2. An entity formed under the purpose of committing an offense set out in paragraph (I) of the preceding article to intimidate the public or pressure the government, a foreign government, an institution or an international organization.

3. An individual, legal person or entity conducting or planning to commit an offense specified in paragraph 1 of the preceding article by intimidating the public or pressuring the government, a foreign government, an institution or an international organization.

A person who directly or indirectly provides financing of property or property interests to an individual, legal person or entity as described in the preceding paragraph in the knowledge that such financing is provided for terrorist training expenses shall be subject to the same punishment.

For an act to constitute an offense as described in Paragraphs 1 and 2 of this Article, it shall not be necessary to prove that such property or property interests were provided to carry out any specific terrorists acts.

Any person attempting to commit an offence specified in Paragraph (I) and (II) is punishable.

  • Article 4, Paragraph 1

If the competent authority believes that any of the following situations exist with respect to any individual, legal person, or entity, the competent authority may, subject to the approval of the TF review committee and based on the reports from the Investigation Bureau or under the competent authority's own authority, include such individual, legal person and entity on the sanction List and publish such list:

1. (an individual, legal person or entity) suspected of committing an offense specified in Article 8, Paragraph 1, hereof with unspecified persons for the purpose of intimidating the public or pressure the government, a foreign government or institution, or an international organization.

2. An international treaty or convention in connection with TF prevention so requires or such is necessary to implement international cooperation or United Nations resolutions.

  • Article 5, Paragraph 1

Based on reports from the Investigation Bureau or under its own authority, the competent authority shall, include the following individuals, legal persons, or entities on the Sanction List and publish such list:

1. Individuals, legal persons, or entities designated by the relevant UNSCRs and any successor resolution on TF; or

2. Individuals, legal persons, or entities designated by the relevant UNSCRs and any successor resolution on the prevention of proliferation of weapons of mass destruction.

 

 

  • Article 16, Paragraph 1

When a representative, agent, employee or other employed personnel of a legal person commits an offence specified in the preceding two Articles when performing his or her duties of business, the offender shall be punished and the legal person shall be also charged with a fine in accordance with the provisions of the respective applicable article.

  • Article 14

Anyone involved in money laundering activities prescribed in paragraphs in Article 2 shall be sentenced to imprisonment of not more than seven years; in addition, a fine of not more than NT$ 5 million shall be imposed.

An attempt to commit an offense specified in the preceding paragraph is punishable.

In circumstance prescribed in the preceding two paragraphs, the penalty may not exceed the maximum punishment administered for the specified unlawful activity.

  • Article 2

As used in this Act, the crime of money laundering is committed by any person who—

1. knowingly disguises or conceals the origin of the proceeds of specified unlawful activity, or transfers or converts the proceeds of specified unlawful activity to help others avoid criminal prosecution;

2. disguises or conceals the true nature, source, the movement, the location, the ownership, and the disposition or other rights of the proceeds of specified unlawful activity; or

3. accepts, obtains, possesses or uses the proceeds of specified unlawful activity committed by others.

  • Article 15

In the event of the following circumstances, if anyone accepts, possesses, or uses the property or the benefits of the property without a reasonable account of the origin of such assets, and if his or her income is obviously disproportionate to the size of such assets, an imprisonment of not less than six months and not more than five years shall be imposed, and a fine of not more than NT$ 5 million may also be imposed:

1. Opening accounts at financial institutions in other people's names or under a false name.

2. Getting hold of accounts opened by others at financial institutions, via improper means.

3. Avoiding anti-money laundering procedures described in Articles 7-10.

An attempt to commit an offense specified in the preceding paragraph is punishable.

  • Article 7

Financial institutions and designated nonfinancial businesses or professions shall apply a risk-based approach to undertake customer due diligence measures for verifying the identity of the customer and beneficial owner, and keep all information obtained through the customer due diligence measures.

The information obtained through the customer due diligence measures prescribed in the preceding paragraph shall be maintained for at least five years after the business relationship is ended, or after the date of the occasional transaction, unless a longer record-keeping term is required by other laws.

Financial institutions and designated nonfinancial businesses or professions shall apply a risk-based approach to conduct enhanced customer due diligence measures for a customer or beneficial owner who is a politically exposed person currently or previously entrusted with a prominent public function by the domestic or a foreign government or an international organization, as well as his or her family members and close associates.

The central competent authorities governing target businesses shall, in consultation with the Ministry of Justice and other related government agencies, establish the regulations governing the scope of customer due diligence, and the scope, procedures and methods of customer identification data record-keeping prescribed in paragraph 1, as well as the scope, procedures and methods of enhanced customer due diligence measures prescribed in the preceding paragraph; consultation with relevant industry associations shall be held prior to the establishment of the regulations. The Ministry of Justice shall determine the scope of politically exposed persons, their family members and close associates mentioned in the preceding paragraph.

For violations of the requirements in paragraphs 1 to 3, and the regulations established in accordance with the preceding paragraph, the central competent authorities governing target businesses shall impose a fine of between NT$500,000 and NT$10 million on financial institutions, and a fine of between NT$50,000 and NT$1 million on designated nonfinancial businesses or professions.

  • Article 8

Financial institutions and designated nonfinancial businesses or professions shall maintain all necessary records on transactions, both domestic and international, made due to operating their business or practicing their profession.

The transaction records prescribed in the preceding paragraph shall be maintained for a period of at least five years after the date of the transaction, unless a longer record-keeping term is required by other laws.

The central competent authorities governing target businesses shall, in consultation with the Ministry of Justice and other relevant government agencies, establish the regulations governing the scope of transactions and the procedures and methods of keeping records on transactions prescribed in paragraph 1; consultation with relevant industry associations shall be held prior to the establishment of the regulations.

For violations of the requirements in paragraphs 1 and 2, and the regulations established in accordance with the preceding paragraph, the central competent authorities governing target businesses shall impose a fine of between NT$500,000 and NT$10 million on financial institutions, and a fine of between NT$50,000 and NT$1 million on designated nonfinancial businesses or professions.

  • Article 9

Financial institutions and designated nonfinancial businesses or professions shall report currency transactions equal to or above the applicable designated threshold to the Investigation Bureau of the Ministry of Justice, unless otherwise prescribed in this Act.

Financial institutions and designated nonfinancial businesses or professions, including responsible persons, directors, managers and employees of such institutions or businesses reporting currency transactions as prescribed in the preceding paragraph shall be exempted from business confidentiality obligations.

The central competent authorities in charge of the relevant industries shall, in consultation with the Ministry of Justice and other relevant government agencies, establish the regulations governing the applicable designated threshold, the scope and types of currency transactions, and the scope, methods and procedures of reporting prescribed in paragraph 1 and other affairs to be obeyed; consultation with relevant industry associations shall be held prior to the establishment of the regulations.

For violations of the requirements in the first paragraph and the rules enacted in accordance with the preceding paragraph relating to the scope, methods and procedures of reporting, the central competent authorities in charge of the relevant industry shall impose a fine of between NT$500,000 and NT$10,000,000 on financial institutions, and a fine of between NT$50,000 to NT$1,000,000 on designated nonfinancial businesses or professions.

  • Article 10

Financial institutions and designated nonfinancial businesses or professions shall report to the Investigation Bureau of the Ministry of Justice all suspicious transactions, including attempted transactions, which may involve any of the offenses described in Articles 14 and 15.

Financial institutions and designated nonfinancial businesses or professions, including responsible persons, directors, managers and employees of such institutions or businesses reporting suspicious transactions as prescribed in the preceding paragraph shall be exempted from business confidentiality obligations.

Regulations governing the scope, methods and procedures of reporting prescribed in paragraph 1 as well as other affairs to be obeyed shall be prescribed jointly by the central competent authority in charge of the relevant industry, the Ministry of Justice and the relevant competent authorities; consultation with the relevant industries associations shall be held prior to the enactment of the rules.

Where the affairs under the preceding paragraph, Paragraph 3 of Article 6, Paragraph 4 of Article 7, Paragraph 3 of Article 8 and Paragraph 3 of the preceding article involving in the Judicial Yuan, the rules shall be prescribed jointly by the Judicial Yuan and the Executive Yuan.

For violations of the provisions in the first paragraph and the rules enacted in accordance with the third paragraph relating to the scope, methods and procedures of reporting, the central competent authorities in charge of the relevant industry associations shall impose a fine of between NT$500,000 and NT$10,000,000 on financial institutions, and a fine of between NT$50,000 and NT$1,000,000 on designated nonfinancial businesses or professions.

 

Although punishment is to be imposed or the responsible person(s) in accordance with other provisions, in the event that the responsible person(s), agent, employee(s) or a staff member(s) of a legal entity comment any of punishable under Article 125 through Article 127-2 of this Act, the legal entity shall also be punished by the administrative fine or criminal fine described in each such article.

The preceding Paragraph shall apply to Foreign Banks.

  • Article 125

Those who violate Article 29, Paragraph 1, of this Act shall be punished by imprisonment for not less than three (3) years and not more than ten (10) years, and may be fined a criminal fine of not less than Ten Million New Taiwan Dollars (NT$10,000,000) and not more than Two Hundred Million New Taiwan Dollars (NT$200,000,000). Those who thereby obtain any property or property interests from such crimes of One Hundred Million New Taiwan Dollars (NT$100,000,000) or more shall be punished by imprisonment for more than seven (7) years, and may also be fined a criminal fine of not less than Twenty Five Million New Taiwan Dollars (NT$25,000,000) and not more than Five Hundred Million New Taiwan Dollars (NT$500,000,000).

A financial information service business which operates inter-institutional funds transfer and account clearing without obtaining the approval of the Competent Authority shall be punished in accordance with the preceding Paragraph.

Should a juristic person commit the offenses prescribed in the preceding two paragraphs, its responsible person shall be punished.

  • Article 29, Paragraph 1

Unless otherwise provided by law, any person other than a Bank shall not Accept Deposits, manage Trust Funds or public property under mandate or handle domestic or foreign remittances.

  • Article 125-1

A person who damages the credit of a Bank, a Foreign Bank, a money market business's or a financial information service business which operates inter-bank funds transfer and bills clearing by spreading rumors or by fraud shall be punished by imprisonment for less than five (5) years and a criminal fine of less than Ten Million New Taiwan Dollars (NT$10,000,000).

  • Article 125-2

A Bank's responsible person or staff member who violates his/her duty with the intent to gain illegal benefit for himself/herself or a third party and damages the Bank's assets or other interests shall be punished by imprisonment for not less than three (3) years and not more than ten (10) years, and may be fined a criminal fine of not less than Ten Million New Taiwan Dollars (NT $10,000000) and not more than Two Hundred Million New Taiwan Dollars (NT$200,000,000). Those who thereby obtain any property or property interests from such crimes of One Hundred Million New Taiwan Dollars (NT$100,000,000) or more shall be punished by imprisonment for more than seven (7) years, and may also be fined a criminal fine of not less than Twenty Five Million New Taiwan Dollars (NT$25,000,000) and not more than Five Hundred Million New Taiwan Dollars (NT$500,000,000).

When two or more responsible persons or staff members of a Bank jointly commit the offenses prescribed in the preceding Paragraph, their punishment may be increased by up to one-half of the specified punishment.

Attempts to commit the acts described in the preceding two paragraphs shall be punishable.

The preceding three paragraphs shall apply to the responsible person or staff members of Foreign Banks or institutions conducting money market businesses.

  • Article 125-3

Those who, with the intent to gain illegal benefit for themselves or a third party, use fraudulent methods to cause the Bank to deliver the assets of the Bank or a third party, or use unjustified methods to enter fictitious data or unjustified commands into the Bank computer or relevant equipment, or make records of acquisition, loss or alteration of the assets so as to obtain any property or property interests from such crimes of which amount to One Hundred Million New Taiwan Dollars (NT$100,000,000) or more, shall be punished by imprisonment for not less than three (3) years and not more than ten (10) years, and may also be fined a criminal fine of not less than Ten Million New Taiwan Dollars (NT$10,000,000) and not more than Two Hundred Million New Taiwan Dollars (NT$200,000,000).

Those who use methods described in the foregoing paragraph to obtain the illegal benefit of assets or cause a third party to do so shall likewise be subject to the specified punishments.

Attempts to commit the acts described in the preceding two paragraphs shall be punishable.

  • Article 125-4

For those who have turned themselves in after committing crimes stipulated in Article 125, Article 125-2 or Article 125-3, they have delivered all criminal gains, if any, out at their free will, their sentences can be reduced or exempted. If their acts of turning themselves in have led to the capture of other principal criminals or accomplices, their sentences shall be exempted.

For those who have committed crimes stipulated in Article 125, Article 125-2 or Article 125-3 and confessed during investigation, they have delivered all criminal gains, if any, out at their free will, their sentences can be reduced. If their acts of confession have led to the capture of other principal criminals or accomplices, their sentences shall be reduced by one-half.

For those who have committed crimes stipulated in Paragraph 1 of Article 125-1, Paragraph 1 of Article 125-2 or Paragraphs 1 and 2 of Article 125-3, any property or property interests obtained from such crimes has exceeded the highest level of fines, more fines can be added within the range of their illegal gains. Should their criminal acts have jeopardized the stability of the financial market, their sentences shall be increased by one-half.

  • Article 125-5

Where a gratuitous act done by a responsible person or staff member of a Bank under Article 125-2, Paragraph 1, or by a committer of a violation under Article 125-3, Paragraph 1, is prejudicial to the rights of a Bank, the Bank may apply to the court to cancel such act.

Where a non-gratuitous act done by a responsible person or staff member of a Bank or a committer of a violation as referred to in the preceding paragraph is done with the knowledge, at the time of commission, that it would be prejudicial to the rights of a Bank, and the beneficiary of the act also knows such circumstances at the time the benefit is received, the Bank may apply to the court to cancel such act.

When applying to the court for cancellation under either of the preceding two paragraphs, a party may alsoapply to the court to order the beneficiary or any party to whom the benefit has been transferred to restore the status quo ante; provided, this shall not apply where the party to whom the benefit has been transferred was not aware at the time of transfer that there was any cause for cancellation.

Any disposition of property between a responsible person or staff member of a Bank or a committer of a violation as referred to in Paragraph 1, and such person's spouse, lineal relative, cohabiting relative, head of household, or family member shall be deemed a gratuitous act.

Any disposition of property between a responsible person or staff member of a Bank or a committer of a violation as referred to in Paragraph 1 and any person other than those set forth in the preceding paragraph shall be presumed to be a gratuitous act.

The right to cancellation under Paragraphs 1 and 2 shall be extinguished one year after the time the Bank is aware of any cause for cancellation if the Bank fails to exercise the right, or ten years after the time of the act.

The preceding six paragraphs shall apply to the responsible person or staff members of Foreign Banks under Article 125-2, Paragraph 4.

  • Article 126

In the event that a company limited by shares violates its commitment made pursuant to Article 30 of this Act, its directors and those who participated in the decision that led to the violation of said commitment shall be punished by imprisonment for not more than three (3) years, detention, and/or a criminal fine of not more than one million and eight hundred thousand New Taiwan Dollars (NT$1,800,000).

  • Article 30

If, in connection with extension of loans, issuance of Letters of Credit or issuance of guarantees, the borrower, mandator or the party on behalf of which the guarantee is issued is a company limited by shares and, under the authority of a board of directors resolution, makes a written commitment to the Bank offering certain property as collateral and agreeing not to encumber the same by mortgage or pledge to a third party, the Bank may permanently or temporarily waive the registration of real estate mortgages or chattel mortgages or the delivery of the items pledged. However, the Bank may request subsequent registration or delivery thereof within a period of time prescribed by the Bank if and when necessary.

In the case of a breach of the aforesaid commitment by the borrower, mandator or guarantor, such borrower, mandator or guarantor's directors who participated in making such decision and the wrongdoer shall be jointly and severally liable for compensation.

  • Article 127

In the event of a violation of Article 35 of this Act, punishment by imprisonment for not more than three (3) years, detention, and/or a criminal fine of not more than Five Million New Taiwan Dollars (NT$ 5,000,000) shall be imposed. However, if a more severe punishment is stipulated in other laws, such more severe punishment shall be imposed.

In the event of a violation of Article 47-2 or Article 123 (which applies Article 35), punishment shall be imposed in accordance with the preceding Paragraph.

  • Article 35

Neither the responsible person nor any staff member of a Bank shall accept, under any pretense, commissions, rebates and the amount of other unwarranted benefits from depositors, borrowers or other customers.

  • Article 47-2

Article 4, Article 32 through Article 33-4, Article 35 through Article 35-2, Article 36, Article 45, Article 45-1, Article 49 through Article 51, Article 58 through Article 62-9, Article 64 through Article 69 and Article 76 shall apply to institutions conducting a money market business.

  • Article 123

Chapter 1 through Chapter 3 and Chapter 6 of this Act shall also apply to Foreign Banks.

  • Article 127-1

In the event of a violation of Article 32, Article 33, or Article 33-2 of this Act or in the event of a violation which is punishable under the preceding three articles, or Article 91-1, through the acts described in Article 33-4, Paragraph 1, the responsible person shall be punished by imprisonment for not more than three (3) years, detention, and/or a criminal fine of not less than Five Million New Taiwan Dollars (NT$ 5,000,000) and not more than Twenty-Five Million New Taiwan Dollars (NT$25,000,000).

In the event that the amount of a loan extended by the Bank exceeds the amount prescribed by the Competent Authority under Article 33, or a direct investment in a manufacturing business is made under Article 91-1 without obtaining approval from not less than three quarters of the directors present in the board meeting at which not less than two-thirds directors are present, or violation of the credit limit or total balance of loans extended prescribed by the Competent Authority under Article 33, Paragraph 2 or violation of Article 91-1 with respect to total investment exceeding five percent (5%) of the Bank's net worth in the preceding fiscal year, the responsible person shall be punished by an administrative fine of not less than Two Million New Taiwan Dollars (NT$2,000,000) and not more than Fifty Million New Taiwan Dollars (NT$50,000,000) and the preceding Paragraph shall not apply.

In the event that a Foreign Bank violates Article 123 by application of Article 32, Article 33, Article 33-2 or Article 33-4, the responsible person shall be punished in accordance with the preceding two paragraphs.

The preceding three paragraphs shall apply to responsible persons who commit such offenses outside the territory of Republic of China.

  • Article 32

No unsecured credit shall be extended by a Bank to enterprises in which the Bank holds three percent (3%) or more of the total paid-in capital, to its staff members, to its Major Shareholders, to any interested party of its own responsible person or of a staff member in charge of credit extensions. However, the foregoing prohibition on unsecured credit shall not apply to consumer loans and loans extended to the government.

The credit amount of the aforesaid consumer loans shall be as prescribed by the Central Competent Authority.

The term, "Major Shareholder", as set forth in this Act shall mean a shareholder who holds at least one percent (1%) of the total number of issued and outstanding shares of the Bank. Where a Major Shareholder is a natural person, the shares of his/her spouse and the shares of his/her minor children shall be counted in the total number of shares held by such Major Shareholder.

  • Article 33

For any secured credit extended by a Bank to enterprises in which the Bank holds at least five percent (5%) of the total paid-in capital of said enterprises, to its own responsible person, to its staff members, to its Major Shareholders, to any interested party of its own responsible person or of a staff member in charge of credit extensions, the terms of such extended credit shall not be more favorable than those terms offered to other same category customers. If the credit amount to be extended by a Bank exceeds the amount prescribed by the Central Competent Authority, a Bank needs the concurrence of at least three-quarters of all of such Bank's directors present at a meeting attended by at least two-thirds of the directors, to extend such credit.

[In addition to the foregoing], the amount of the aforesaid connected credit extension to each related party, the aggregate amount of such credit extensions thereof, the terms and conditions of such credit extension and the same category customers referred to under this preceding Paragraph shall be prescribed by the Central Competent Authority after consultation with the Central Bank of China.

  • Article 33-2

A Bank shall not "cross" extend unsecured credit to the responsible person or a Major Shareholder of such Bank's correspondent bank or to an enterprise whose responsible person is also the responsible person of the correspondent bank. Any secured [cross] credit extension thereof shall be handled in accordance with Article 33 of this Act.

  • Article 33-4

The foregoing shall apply to persons falling under Articles 32, 33 or 33-2 who use other persons' names to apply for credit extensions.

The amount of credit extensions obtained by persons who obtained such extensions by using other persons' names and the amount of loan proceeds transferred to such persons by using other persons' names shall be deemed as credit extensions to such persons for purposes of the preceding paragraph.

  • Article 91-1

If an Industrial Bank directly invests in manufacturing businesses in the following circumstances, such Bank shall obtain the approval of more than three-quarters of its directors present at a Board meeting at which two-thirds of the directors are present; and its total investment amount shall not exceed five percent (5%) of the Bank's net worth as of the end of the preceding fiscal year:

1.The invested business is the Bank's major shareholder, responsible person(s) or an affiliate of such shareholder or person;

2.The invested business is the Bank's shareholder, the Bank's responsible person or a partnership or sole proprietorship managed by a related person of such shareholder person or responsible person;

3.The major shareholder or responsible person of the Bank and their related persons jointly or severally hold more than ten percent (10%) of the total amount of issued shares or paid-in capital of the invested business; or

4.The Bank's major shareholder, responsible person(s) and/or their related persons are directors, supervisors or managers of the invested business except in cases where they act as directors, supervisors or managers due to the Bank's investment relationship with such business.

The term, "affiliate", as used in Subparagraph 1 of the preceding Paragraph shall have the meaning set out in Articles 369-1 through 369-3, Articles 369-9 and 369-11 of the Company Law.

The term, "related persons", as used in Subparagraphs 2 through 4 of Paragraph 1, shall include the spouse, blood relatives within three degree and marriage relatives within two degree of the Bank's major shareholder(s) and the Bank's responsible person.

  • Article 127-2

In the event of a violation of a disposition ordered by the Competent Authority pursuant to Article 62, Paragraph 1, of this Act, if the said violation is sufficient to cause damage to others or the public, the person(s) responsible for the violation shall be punished by imprisonment for not less than one (1) year and not more than seven (7) years, and a criminal fine of not more than Twenty Million New Taiwan Dollars (NT$20,000,000).

Commission of any of the following acts by a Bank's responsible person or staff members in connection with the Competent Authority sending officials to take conservatorship or receivership over the business operations or order of suspension of the business and rehabilitation measures shall be punished by imprisonment for not less than one (1) year and not more than seven (7) years and a criminal fine of not more than Twenty Million New Taiwan Dollars (NT$20,000,000):

1.Refusing to deliver the books, documents, chops and assets related to the banking business or finance to the conservators, receivers or rehabilitators designated by the Competent Authority, refusing to provide information as to the necessary matters in connection with assets and liabilities of the Bank to such persons, or refusing such persons' requests to carry out necessary acts for conservatorship, receivership, or rehabilitation.

2.Concealing or damaging the books or other documents regarding a Bank's business or financial condition;

3.Concealing or destroying a Bank's properties, or making other decisions to the detriment of creditors;

4.Failing to reply, without justification, to inquiries from conservators, receivers, or rehabilitators appointed by the Competent Authority to ; or

5.Fabricating claims or accepting false claims.

With respect to violation of the measures imposed by the Competent Authority pursuant to Article 47-2, Article 123 applying Article 62, Paragraph 1, Article 62-2 or Article 62-5 and the occurrence of any of the events prescribed in the preceding two paragraphs, the preceding two paragraphs shall apply.

  • Article 62, Paragraph 1

When there is a concern that a Bank is unable to pay its debts when due or there might detriment to the depositors' interests due to obvious deterioration in the Bank's business or financial status, the Competent Authority shall assign officials to take receivership over the Bank, order such a Bank to suspend and wind up business, or take other necessary measures. If deemed necessary, the Competent Authority may notify relevant authorities or institutions to prohibit the Bank's responsible person from transferring, delivering or creating other rights in his/her properties, and/or request the immigration agency to prohibit the responsible person from departing the country.

  • Article 47-2

Article 4, Article 32 through Article 33-4, Article 35 through Article 35-2, Article 36, Article 45, Article 45-1, Article 49 through Article 51, Article 58 through Article 62-9, Article 64 through Article 69 and Article 76 shall apply to institutions conducting a money market business.

  • Article 62-2

Where the Competent Authority has assigned officials to take receivership over a Bank, the Bank's operation and management and disposal of the Bank's properties shall be handled by the receiver.

The receiver in the preceding paragraph has the authority to represent the Bank under receivership in litigation and non-litigation matters and may designate a natural person to discharge duties on his/her behalf. A receiver is not subject to Article 17 of the Administrative Execution Act in the performance of duties.

Upon receiving the order of receivership, the responsible person and staff members of a Bank shall deliver all books, documents, seals and properties together with an inventory thereof to the receiver and shall disclose all necessary information relating to the assets and liabilities of the Bank to the receiver and take other necessary actions to comply with such receivership as per the receiver's request; the Bank's responsible person or staff members shall not refuse to answer relevant inquiries or make false representations.

A Bank is not subject to Article 35 of Civil Code, Articles 208-1, 211, 245, and 282 ~ 314 of Company Law, or the Bankruptcy Act during receivership.

The duration of receivership over a Bank shall last two hundred and seventy (270) days from the date the Competent Authority assigns officials to take over. If deemed necessary and with the approval of the Competent Authority, the duration of receivership may be extended once for a period of no longer than one hundred and eighty (180) days.

A receiver is not required to furnish security when requesting the court for provisional seizure or provisional disposition in the performance of his or her duties.

  • Article 62-5

For the winding-up of a Bank, the Competent Authority shall designate a liquidator to handle such proceedings and may dispatch officials to supervise the winding-up process; Paragraphs 1-3 and 6 of Article 62-2 herein shall apply to the liquidator in the performance of duties.

The duties of a rehabilitator shall be to:

1. To wind up all pending business.

2. To collect all outstanding debts and to pay off all claims .

When a liquidator discharges his or her duty pursuant to the preceding paragraph to transfer the business, assets and liabilities of a winding-up Bank to another bank or financial institution, or proposes the merger of the Bank with another bank or financial institution, the liquidator shall acquire the prior approval of the Competent Authority.

Paragraphs 1 and 3 of the preceding article shall apply where a winding-up Bank transfers its business, assets, and/or liabilities to or merges with another bank or financial institution.

 

  • Financial Holding Company Act
    • Article 65

If the responsible person(s), agent(s), employee(s) or staff member(s) of a legal entity commits any punishable act under this Act, in addition that punishment being imposed on the person(s) responsible for the violation in accordance with this Chapter, the legal entity shall also be punished by the administrative fine or criminal fine described in the relevant Article.

  • Article 57

A responsible person or staff member of a Financial Holding Company who violates his/her duty with the intent to gain illegal benefit for himself/herself or a third party and damages the Financial Holding Company's assets or other interests shall be punished by imprisonment for not less than three (3) years and not more than ten (10) years, and may be fined a criminal fine of not less than Ten Million New Taiwan Dollars (NT$10,000,000) and not more than Two Hundred Million New Taiwan Dollars (NT$200,000,000). Those who thereby obtain any property or property interests from such crimes of One Hundred Million New Taiwan Dollars (NT$100,000,000) or more shall be punished by imprisonment for more than seven (7) years, and may also be fined a criminal fine of not less than Twenty Five Million New Taiwan Dollars (NT$25,000,000) and not more than Five Hundred Million New Taiwan Dollars (NT$500,000,000).

When two or more responsible persons or staff members of a Financial Holding Company jointly commit the offenses prescribed in the preceding paragraph, their punishment may be increased by up to one-half of the specified punishment.

Attempts to commit the acts described in the preceding two paragraphs shall be punishable.

  • Article 57-1

When persons use fraudulent methods to cause the Financial Holding Company to make payment using the assets of the Financial Holding Company or a third party, or use illicit methods to enter fictitious data or illicit commands into the Financial Holding Company computer or relevant equipment, with the intent to gain illegal benefit for themselves or a third party, and thereby cause asset loss or gain or entitlement changes to others through the alteration of records, those who thereby obtain any property or property interests from such crimes of One Hundred Million New Taiwan Dollars (NT$100,000,000) or more shall be punished by imprisonment for not less than three (3) years and not more than ten (10) years, and may also be fined a criminal fine of not less than Ten Million New Taiwan Dollars (NT$10,000,000) and not more than Two Hundred Million New Taiwan Dollars (NT$200,000,000).

Those who use methods described in the foregoing paragraph to obtain the illegal benefit of assets or cause a third party to do so shall likewise be subject to the specified punishments.

Attempts to commit the acts described in the preceding two paragraphs shall be punishable.

  • Article 58, Paragraph 1

In the event the Bank Subsidiary or Insurance Subsidiary of a Financial Holding Company extends unsecured credit to the persons listed in Article 44, above, or extends partially secured credit or the terms of such extended credit are more favorable than these terms offered to other same category customers, the person responsible for the violation shall be punished by imprisonment for not more than three (3) years, detention, and/or a criminal fine of not less than Five Million New Taiwan Dollars (NT$5,000,000) and not more than Twenty Five Million New Taiwan Dollars (NT$25,000,000).

  • Article 44

The Bank Subsidiary or Insurance Subsidiary of a Financial Holding Company shall not extend unsecured credit to the following persons; Article 33 of the Banking Act shall apply, mutates mutandis to secured credit extension [to such person].

1.A responsible person or Major Shareholder of the Financial Holding Company;

2.An enterprise solely invested in by or a partnership invested in by a responsible person or Major Shareholder of the Financial Holding Company or an organization in which such responsible person or Major Shareholders concurrently acts as the responsible person or representative;

3.Companies in which more than one half of the directors concurrently act as the directors of the Financial Holding Company or its Subsidiary(ies); or

4.The Financial Holding Company's Subsidiary and the responsible persons and Major Shareholders of such subsidiaries.

  • Article 59

The responsible person or employee of a financial holding company who violates Paragraph 4 of Article 17 herein by accepting commissions, rebates or other unwarranted benefits shall be punishable by imprisonment for not more than three (3) years, detention, and/or a fine of not more than Five Million New Taiwan Dollars (NT$5,000,000).

  • Article 17, Paragraph 4

The responsible person or any employee of a financial holding company shall not accept, under any pretense, commissions, rebates and other unwarranted benefits from a transaction counterparty or a customer of the financial holding company or its subsidiaries.

  • Article 61

The responsible person or a staff member of a Financial Holding Company who commits any of the following acts in connection with the FSC having ordered production of relevant financial statements, transaction data or other relevant information within a prescribed period of time, or having appointed an official or authorized an appropriate institution or appointed a specifically professional and technical expert to investigate the business, finances, and other relevant affairs of such Financial Holding Company and/or its Subsidiary(ies) in accordance with Article 52 of this Act shall be punished by an administrative fine of not less than Two Million New Taiwan Dollars (NT$2,000,000) and not more than Fifty Million New Taiwan Dollars (NT$50,000,000):

1.Refusing to be investigated or refusing to open the vault or other storage facilities;

2.Concealing or damaging books and documents related to business or financial conditions;

3.Refusing to reply or providing misleading responses to inquiries of the investigator without justifiable reasons; and/or

4.Failure to timely, honestly or completely provide financial reports, transaction data or other related data designated by the FSC, or to pay investigation fees within t he specified period(s) of time.

  • Article 52

To ensure the sound operation of Financial Holding Companies and/or their subsidiary(ies), the FSC may order a Financial Holding Company and its Subsidiary(ies) to provide relevant financial statements, transaction data and other relevant information within a prescribed period of time, and may at any time appoint an official or authorize an appropriate institution to investigate the business, finances, and other relevant affairs of such Financial Holding Company and/or its Subsidiary(ies).

Where necessary, the FSC may appoint professionals and technical experts to conduct the investigation described in the preceding paragraph, and such persons shall, based on the relevant facts, report accordingly to the FSC. Unless otherwise provided by law, the Financial Holding Company shall pay the fees arising there from.

  • Article 64

After having paid an administrative fine, the relevant Financial Holding Company or its Subsidiary(ies) shall claim compensation from the person(s) responsible for the violation.

 

Where the responsible person, agent, employee, or other staff of a juristic person violates the provisions of this Act in the course of performing his/her duties, in addition to punishing such person(s) pursuant to the provisions of this chapter, a criminal fine or an administrative fine in the amount as prescribed in each article shall also be imposed upon such juristic person.

  • Article 108

Under any of the following circumstances, the responsible person(s) for such act shall be punished with imprisonment for not less than one (1) year and not more than seven (7) years, and a criminal fine of not more than Ten Million New Taiwan Dollars (NT$10,000,000):

1. an enterprise not qualified as a Trustee as provided for in Article 4, Paragraph 2 hereof serves as a Trustee and issues Beneficial Securities;

2. the Trustee issues Beneficial Securities without the approval of or effective registration with the competent authority, in violation of Article 9, Paragraph 2 hereof; or

3. a person issues Asset-Backed Securities without the approval of or effective registration with the competent authority, in violation of Article 73, Paragraph 2 hereof.

  • Article 4, Paragraph 2

The Trustee referred to in the preceding paragraph shall be limited to the trust enterprise defined in the Trust Enterprise Act and shall have been rated above certain level by a credit rating institution recognized by the competent authority.

  • Article 9, Paragraph 2

The Trustee shall not issue Beneficial Securities without the approval from or effective registration with the competent authority.

  • Article 73, Paragraph 2

The SPC shall not issue Asset-Backed Securities without the approval of or effective registration with the competent authority.

  • Article 109

In case of occurrence of any of the following events and such occurrence causes damages to the public, other persons, trust property or transferred Assets, the responsible person(s) for such act shall be punished with imprisonment for not less than six (6) months and not more than five (5) years, and a criminal fine of not more than Three Million New Taiwan Dollars (NT$3,000,000):

1. any document submitted in accordance with Article 9, Paragraph 1 hereof contains false statements or concealments;

2. any document or information provided by the Originator to the Trustee contains false statements or concealments, in violation of Article 9, Paragraph 4 hereof;

3. major content of the prospectus or investment memorandum as provided in accordance with Article 17, Paragraph 1 or Paragraph 3 hereof contains false statements or concealments;

4. when executing the resolution of a beneficiaries' meeting, the Trust Supervisor or the person appointed by a beneficiaries' meeting in accordance with Article 27, Paragraph 1 hereof causes any damage to the trust property due to acts against his/her duties having the intention of acquiring illegal profits for his/her own or a third party;

5. violation of Article 36, Paragraph 2 hereof;

6. any document submitted in accordance with Article 73, Paragraph 1 contains false statements or concealments;

7. any document or information provided by the Originator to the SPC contains false statements or concealments, in violation of Article 9, Paragraph 4 hereof;

8. violation of Article 91, Paragraph 2;

9. major content of the prospectus or investment memorandum contains false statements or concealments, in violation of Article 101 referring to the mutatis mutandis application of Article 17, Paragraph 1 or 3 hereof; or

10. having false statements or concealments in violation of Article 104 hereof.

  • Article 9, Paragraph 1

The Trustee shall file an application or make a registration, along with the following documents, with the competent authority for the approval or effective registration of the issue of Beneficial Securities; the guidelines related thereto shall be prescribed by the competent authority:

1. the asset trust securitization plan;

2. the SPT contract;

3. explanations regarding the methods of managing and disposing of the trust property; if a Servicer is appointed to manage and dispose of the trust property, the appointment agreement or other documentary proofs;

4. relevant risk hedging plans and documents; and

5. other documents as required by the competent authority.

  • Article 9, Paragraph 4

The Originator and the Trustee shall not be the same affiliated enterprise, and the document and information related to the trust property shall be provided to the Trustee without false statements or concealments.

  • Article 17, Paragraph 1

When conducting a public offering of Beneficial Securities to non-specific people in accordance with the asset trust securitization plan, the Trustee shall provide a pubic prospectus to the subscriber or purchaser in a form prescribed by the competent securities authority.

  • Article 17, Paragraph 3

If the Trustee issues Beneficial Securities to specific people through private placement, the Trustee shall provide an investment memorandum to the subscriber or purchaser in accordance with the methods prescribed by the competent authority, and shall annotate so on the Beneficial Securities with conspicuous language and state so in other relevant documents provided to the subscriber or purchaser.

  • Article 27, Paragraph 1

Resolutions of the beneficiaries' meeting shall be executed by the Trust Supervisor or the person appointed by the beneficiaries' meeting.

  • Article 36

The Trustee shall prepare the following documents regarding the trust property of the SPT and shall report same to the Trust Supervisor and notify all beneficiaries of the same within four (4) months after each fiscal year or after the complete implementation of the asset trust securitization plan:

1. balance sheet;

2. statement of income; and

3. report on the management and utilization of the trust property.

The content of the aforementioned statements shall not contain false statements or concealments.

  • Article 73, Paragraph 1

To issue Asset-Backed Securities, the SPC shall submit an application or file a registration with the competent authority, along with the following documents, and required information, for approval or effective registration. The guidelines for processing such an application or registration shall be further prescribed by the competent authority:

1. asset securitization plan;

2. asset transfer contract or other supporting documents;

3. name, Articles of Incorporation, and location of the SPC;

4. names and domiciles of directors;

5. date(s) of the resolution(s) of directors and its supporting documents;

6. explanations regarding management methods of the transferred Assets. If appointing or entrusting a Servicer to manage and dispose of the transferred Assets, such appointment or entrustment agreement or other supporting documents shall be provided;

7. relevant risk hedging plans and documents; and

8. other items as required by the competent authority.

  • Article 73, Paragraph 4

The Originator and the SPC shall not be the same affiliated enterprise, and the relevant documents and information of the transferred Assets shall be provided to the SPC without false statements or concealments.

  • Article 91

Based on the offering terms of different types or durations of Asset-Backed Securities, the SPC shall establish a separate account to keep records with the management and disposal of the transferred Assets, calculate its profits and losses and distributed amounts related thereto, and shall periodically prepare written reports with regard to book value of the transferred Assets, principal received or other interests, collectable payments, bad debts and other material information, and submit such report to the Supervisory Institution and notify the Asset-Backed Security holders.

The content of the reports described in the preceding paragraph shall contain no false statements or concealments.

  • Article 101

Articles 11 to 12, Article 15, Article 17, Article 19, Article 22, Articles 38 to 41, and Article 42, Paragraph 2 hereof shall apply mutatis mutandis to the SPC.

  • Article 104

Where the credit of the Beneficial Securities or Asset-Backed Securities issued by the Trustee or the SPC pursuant to this Act is rated or is enhanced by a credit rating institution, the result of rating and the method of credit enhancement shall be described in the prospectus, investment memorandum, or other documents prescribed by the competent authority without any false statements or concealments.

  • Article 110

Under any of the following circumstances, the responsible person(s) for such act shall be punished with imprisonment for not more than three (3) years or detention, and/or a criminal fine of not more than Three Million New Taiwan Dollars (NT$3,000,000):

1. Beneficial Securities are publicly offered to non-specific people, in violation of Article 17, Paragraph 2 or Paragraph 5 hereof referring to the mutatis mutandis application of Article 17, Paragraph 2 hereof; or

2. Asset-Backed Securities are publicly offered to non-specific people, in violation of Article 101 hereof referring to the mutatis mutandis application of Article 17, Paragraph 2 or Paragraph 5 hereof.

  • Article 17, Paragraph 2

When making the public offering describe din the preceding paragraph, the Trustee shall apply for an approval from or file an effective registration with the competent securities authority. The public offering guidelines and the content of the prospectus shall be promulgated by the competent securities authority after consultation of the competent authority.

  • Article 17, Paragraph 5

Paragraphs 1 and 2 shall apply mutatis mutandis where the specific people sell the held Beneficial Securities through public offering to non-specific people.

  • Article 111

Under any of the following circumstances, the responsible person(s) for such act shall be punished with imprisonment for not more than one (1) year or detention, and/or a criminal fine of not more than Three Million New Taiwan Dollars (NT$3,000,000):

1. the prospectus or investment memorandum is not provided in accordance with the method prescribed by the competent securities authority or the competent authority, in violation of Article 17, Paragraph 1 or Paragraph 3 hereof; or

2. the prospectus or investment memorandum is not provided in accordance with the method prescribed by the competent securities authority or the competent authority, in violation of Article 101 hereof referring to the mutatis mutandis application of 17, Paragraph 1 or Paragraph 3 hereof.

 

When the responsible person, agent, employee, or other staff of a juristic person violates any provision of this Act in the course of performing his/her duties, in addition to punishing such person(s), a criminal fine or an administrative fine in the amount as prescribed in each respective article shall also be imposed upon such juristic person.

  • Article 58

If any of the following circumstances, the person(s) responsible for such act shall be punished with imprisonment for not less than one (1) year and not more than seven (7) years, and a criminal fine of not more than Ten Million New Taiwan Dollars (NT$ 10,000,000):

1. an enterprise not qualified as a Trustee as provided for in Article 4, Paragraph 2 hereof serves as a Trustee for the REIT or REAT and offers/issues Beneficial Securities; or

2. the Trustee offers and issues Beneficial Securities without the approval of or effective registration with the competent authority, in violation of Article 6, Paragraph 1 or Article 29, Paragraph 1 hereof.

  • Article 4, Paragraph 2

The trustee depicted in Subparagraph 8 of the preceding paragraph shall be limited to the trust enterprises as defined in the Trust Enterprise Act that has been established for at least three (3) years and has been rated above a certain level by a credit rating institution recognized by the competent authority.

  • Article 6, Paragraph 1

To publicly offer or privately place REIT beneficiary securities, the trustee shall submit the following documents to the competent authority for approval or effective registration. The regulations governing the review process, requirements for approval or effective registration, and other matters of compliance shall be prescribed by the competent authority:

1. The REIT plan;

2. The REIT contract;

3. A comparison table of the REIT contract and the standard contract specimen;

4. The prospectus or investment memorandum;

5. Documentation evidencing that the operating and managerial personnel of the REIT fund are in compliance with the regulations prescribed by the competent authority;

6. Namelist, and documentation of qualifications, and consent letter (to the appointment) of the trust supervisor, if any;

7. Minutes of the resolution adopted by the trustee's board of directors for public offering or private placement of REIT beneficiary securities;

8. Explanations regarding the methods of managing and disposing the trust property. Where a real estate management institution is appointed to manage or dispose trust property, the appointment agreement or other documentary proofs are required;

9. Case checklist filled out by the trustee and reviewed by a certified public accountant (CPA) or lawyer;

10. Legal opinions of a lawyer; and

11. Other documents as required by the competent authority.

  • Article 29, Paragraph 1

To publicly offer or privately place REAT beneficiary securities, the trustee shall submit the following documents to the competent authority for approval or effective registration. The regulations governing the review process, requirements for approval or effective registration, and other matters of compliance shall be prescribed by the competent authority:

1. The REAT plan;

2. The REAT contract;

3. A comparison table of the REAT contract and the standard contract specimen;

4. The prospectus or investment memorandum;

5. Documentation evidencing that the operating and managerial personnel of the REAT fund are in compliance with the regulations prescribed by the competent authority;

6. Namelist, and documentation of qualifications, and consent letter (to the appointment) of the trust supervisor, if any;

7. Minutes of the resolution adopted by the trustee's board of directors for public offering or private placement of REAT beneficiary securities;

8. Explanations regarding the methods of managing and disposing the trust property. Where a real estate management institution is appointed to manage or dispose trust property, the appointment agreement or other documentary proofs are required;

9. Appraisal reports of the trust property;

10. Documents prescribed in Paragraphs 2 and 3 of Article 30 herein;

11. Case checklist filled out by the trustee and reviewed by a certified public account (CPA) or lawyer;

12. Legal opinions of a lawyer; and

13. Other documents as required by the competent authority.

  • Article 59

In case of any of the following events that causes damage to the public, other persons, or the trust property, the person(s) responsible for such act shall be punished with imprisonment for not less than six (6) months and not more than five (5) years, and in addition, a fine of not more than Three Million New Taiwan Dollars (NT$3,000,000):

1. Documents or information contained therein provided by the trustee pursuant to Paragraph 1 of Article 6, Paragraph 1 of Article 8, Paragraph 3 of Article 9, Article 15, Paragraph 1 of Article 29, Paragraph 1 of Article 31, Paragraph 3 of Article 32, or Article 36 herein to which Article 15 herein applies mutatis mutandis contain false representation or concealment;

2. The private placement of beneficiary securities violates Paragraph 6 of Article 13 herein to which Paragraph 1, Article 20 of the Securities and Exchange Act applies mutatis mutandis;

3. The arranger, real estate management institution, promoter or trustor of the REAT provides false statements or employs other illicit methods to cause the trustee to record false information in documents as specified in Paragraph 1 of Article 6, Paragraph 1 of Article 8, Paragraph 3 of Article 9, Article 15, Paragraph 1 of Article 29, Paragraph 1 of Article 31, Paragraph 3 of Article 32, or Article 15 herein to which Article 36 herein applies mutatis mutandis;

4. Violating Article 44 herein by providing false statements or having concealed information regarding the state of credit rating and credit enhancement;

5. Violating Paragraph 2 of Article 44-1 by containing false statements or having concealed information in statement or report;

6. The trust supervisor or the person(s) appointed by the beneficiaries’ meeting pursuant to Article 47 herein to which Paragraph 1 of Article 27 of the Financial Asset Securitization Act applies mutatis mutandis acts against his/her duties with the intention of acquiring illegal profits for his/her own or a third party; or

7. The appraisal report made by the professional appraiser pursuant to the provisions of this Act contains false representation or concealment.

  • Article 8, Paragraph 1

A REIT plan shall contain the following particulars:

1. Name and address of the trustee; where a real estate management institution is appointed to manage or dispose the trust property, the name and address of the appointed institution; and names and addresses of the promoters and arranger, if applicable;

2. Name and duration of the REIT fund;

3. Matters concerning REIT beneficiary securities as follows:

(1) The total amount of the REIT fund to be publicly offered or privately placed and the total units of beneficial interests; and

(2) Methods and dates of issuance or delivery, the amount of purchasing each unit of beneficial interests, expenses, and transfer restrictions of REIT beneficiary securities;

4. Conditions under which the publicly offered or private placed REIT fund is established or not established, and method of handling in case the REIT fund is not established;

5. Valuation method, valuation bases, and expert opinions regarding the expected income of the trust property;

6. Investment plan: including the types and locations of real estate or other investment objects planned to purchase, manage or dispose, and planned holding period, sources of funds, utilization and management modules, cost recovery, financial projections, and estimated rate of return;

7. Real estate development plan: including the types and locations of real estate or related rights of real estate planned for development, and related market analysis, feasibility study, title search report, appraisal report, planned development schedule and projects, phase plans and control modules for acquisition, development, sale or operation management plans , sources of funds, fund utilization and control modules, cost recovery, financial projections and estimated rate of return, expert opinions, and self-evaluation plan;

8. In case the real estate development project is delayed or not completed , the method of handling, impact on the interests of the beneficiaries, and agreement on rights and obligations among the trustee, the real estate management institution, and the beneficiaries; and

9. Other matters as required by the competent authority.

  • Article 9, Paragraph 3

The application or registration as referred to in the preceding paragraph shall be made in an application form or registration form, which shall expressly state the contents of and reasons for the alteration, together with the following documents:

1. The REIT plans before and after alteration as well as the corresponding comparison table;

2. Minutes of the beneficiaries’ meeting, which is exempted if the alteration meets the condition prescribed in the proviso of the preceding paragraph;

3. Evaluation and expert opinions on whether or not the alteration has any significant impact on the rights and interests of the beneficiaries; and

4. Other documents as required by the competent authority.

  • Article 13, Paragraph 6

Article 20, Article 43-7, and Article 43-8, Paragraph 1 of the Securities and Exchange Act shall apply mutatis mutandis to the REIT Beneficial Securities privately placed.

  • Article 15

When a trustee publicly offers beneficiary securities according to the REIT plan, the trustee shall provide the subscribers or purchasers with a prospectus in a manner prescribed in the Securities and Exchange Act.

When a trustee privately places beneficiary securities, the trustee shall provide the subscribers or purchasers with an investment memorandum in a manner prescribed by the competent authority.

The guidelines for information to be published in the prospectus in Paragraph 1 hereof and the investment memorandum as referred to in the preceding paragraph shall be prescribed by the competent authority.

  • Article 31, Paragraph 1

A REAT plan shall contain the following particulars:

1. Names and addresses of the trustee and trustor; where a real estate management institution is appointed to manage or dispose the trust property, the name and address of the appointed institution; and name and address of the arranger, if applicable;

2. Name and duration of the REAT fund;

3. Matters concerning the REAT beneficiary securities as follows:

(1) The total amount of the REAT fund to be publicly offered or privately placed and the total units of beneficial interests;

(2) The agreement, the seniority of payment and duration of beneficial interests, when publicly offering or privately placing beneficiary securities of different kinds or durations;

(3) Methods and dates of issuance or delivery, amount of purchasing each unit of beneficial interests, expenses, and transfer restrictions of REAT beneficiary securities;

(4) Conditions under which the publicly offered or private placed REAT fund is established or not established, and method of handling in case the REAT fund is not established;

4. Matters concerning the trust property as follows:

(1) Content of trust property and the value of trust property appraised by the professional appraisers;

(2) Encumbrance of trust property and the methods of disposing of such encumbrance;

(3) Methods for managing and disposing the trust property; and

(4) Valuation method, valuation bases, and expert opinions regarding the expected income of the trust property;

5. Methods for utilizing quid pro quo received by the trustee from the subscribers or purchasers for the public offering or private placement of beneficiary securities;

6. Real estate development plan: including the types and locations of real estate or related rights of real estate planned for development, and related market analysis, feasibility study, title search report, appraisal report, planned development schedule and projects, phase plans and control modules for acquisition, development, sale or operation management, sources of funds, fund utilization and control modules, cost recovery, financial projections and estimated rate of return, expert opinions, and self-evaluation plan;

7. In case the real estate development project is delayed or not completed , the method of handling, impact on the interests of the beneficiaries, and agreement on rights and obligations among the trustee, the real estate management institution, and the beneficiaries;

8. In case that the trustor is the related party to the trustee, explanations of the transaction procedures and internal control methods; and

9. Other matters as required by the competent authority.

  • Article 32, Paragraph 3

The application or registration as referred to in the preceding paragraph shall be made in an application form or registration form, which shall expressly state the contents and reasons of the alteration, along with the following documents:

1. REAT plan with and without alteration as well as the corresponding comparison tables;

2. minutes of the b eneficiaries' meeting. Where the alterations fall within those prescribed in the proviso of the preceding paragraph, the minutes may be exempted;

3. evaluation and expert opinions on whether or not the alteration has any significant impact on the rights and interests of the beneficiaries; and

4. other documents as required by the competent authority.

The competent authority shall consult with the central competent authority for written opinions prior to the examination of the documents as prescribed in the preceding paragraph.

  • Article 36

Article 7, Articles 11 to 15, Article 18, Article 19, Article 21, Paragraphs 2 and 3 of Article 22, Articles 23, Article 25 to 28 hereof shall apply mutatis mutandis to REAT.

  • Article 44

Where the credit of the Beneficial Securities issued or delivered by the Trustee pursuant to this Act is rated or is enhanced by a credit rating institution, the result of rating and the method of credit enhancement shall be described in the prospectus, investment memorandum, or other documents prescribed by the competent authority without any false statements or concealments.

  • Article 44-1, Paragraph 1

Completion of the execution of the REIT or REAT plan, produce the following CPA-certified statements and report on the REIT fund or the trust property of the REAT, report the same to the trust supervisor and notify the beneficiaries of the same:

1. Balance sheet.

2. Statement of income.

3. Report on the management and utilization of trust property.

  • Article 44-1, Paragraph 2

The statements mentioned in the preceding paragraph must be free of misrepresentation and concealment.

  • Article 47

Article 20, provisions in Section 3 of Chapter 2, and Article 42 of the Financial Asset Securitization Act shall apply mutatis mutandis to beneficiary securities issued or delivered through real estate securitization, unless it is otherwise provided for in the trust contract and stated in the prospectus or investment memorandum.

  • Article 60

If any of the following circumstances, the person(s) responsible for such act shall be punished with imprisonment for not less than two (2) years or detention, and/or a criminal fine of not more than Three Million New Taiwan Dollars (NT$ 3,000,000):

1. an enterprise not qualified as a Trustee as provided for in Article 4, Paragraph 2 hereof serves as a Trustee of a REIT or REAT and privately places and delivers Beneficial Securities;

2. the Trustee privately places and delivers Beneficial Securities without the approval of or registration with the competent authority, in violation of Article 6, Paragraph 1 or Article 29, Paragraph 1 hereof; or

3. the private placement of Beneficial Securities violates Article 13, Paragraph 1 or Article 36 hereof referring to the mutatis mutandis application of Article 13, Paragraph 1 hereof.

  • Article 13, Paragraph 1

The Trustee may conduct private placement of REIT Beneficial Securities to the following objects:

1. banking enterprises, finance bills enterprises, trust enterprises, insurance enterprises, securities enterprises or other juristic persons or institutions approved by the competent authority; or

2. natural persons, juristic persons or funds that meet the requirements as prescribed by the competent authority.

  • Article 61

In case of any of the following situations, the person(s) responsible for such act shall be punished with imprisonment or detention for not, and/or a fine of not more than Three Million New Taiwan Dollars (NT$3,000,000):

1. Reselling privately placed beneficiary securities in violation of Paragraph 6 of Article 13 herein to which Paragraph 1 of Article 43-8 of the Financial Asset Securitization Act applies mutatis mutandis; or

2. Violating Article 15 or Article 36 herein to which Article 15 applies mutatis mutandis by failing to provide the prospectus or investment memorandum in a manner prescribed by the competent authority and causing damages to the public or other persons.

 

Where a juristic person's representative, agent, employee or other staff commits the offense described in the preceding paragraph when practicing business, the offender shall be punished and said fine shall be imposed on the juristic person too.

  • Article 167, Paragraph 1

A non-insurance enterprise that engages in the operation of insurance business shall be punished by a prison term of not less than three years but not more than 10 years, and in addition may be assessed a criminal fine of not less than New Taiwan Dollars 10 million but not more than New Taiwan Dollars two hundred million. Where the properties or property interests obtained through the commission of an offense are valued at New Taiwan Dollars one hundred million or more, such person shall be punished by a prison term of not less than seven years, and in addition may be assessed a criminal fine of not less than New Taiwan Dollars twenty-five million but not more than more than New Taiwan Dollars five hundred million.

  • Article 167-1, Paragraph 2

Where a juristic person's representative, agent, employee or other staff commits the offense described in the preceding paragraph when practicing business, the offender shall be punished and said fine shall be imposed on the juristic person too.

  • Article 167-1, Paragraph 1

Any person who provides agent, broker, surveyor services for insurance enterprises or foreign insurance enterprises not approved under the Act shall be subject to a prison term of not more than three (3) years, and in addition thereto, a fine of not less than New Taiwan Dollars three million (NT$3,000,000) but not more than New Taiwan Dollars twenty million (NT$20,000,000). For violations deemed severe, the competent authority may order the violating insurance agent, broker, surveyor, or the bank operating the insurance agent or insurance business concurrently to suspend business, in whole or in part, or revoke the offender's practice license.

 

In case the representative of a juristic person, the agent of a juristic person or a natural person, the employee or business associate of a juristic person in other capacity violates the provision stipulated in the preceding paragraph while conducting business, the juristic person or natural person shall be fined the same amount as imposed on the offender.

  • Article 22, Paragraph 1

People who engage in foreign exchange transactions illegally as a regular profession shall be subjected to a prison term or detention of less than three years, and/or a fine that amounts to their total business turnover; the foreign exchange and the payment or proceeds thereof shall be confiscated as well.

 

Where a representative, agent, associated person or any other employee of a juristic person committed the following offenses in connection with the performance of his/her duty, in addition to the punishment imposed on the person in violation of the law pursuant to Article 116 and Article 117, the criminal fines stipulated under each applicable Article shall also be imposed on the juristic person:

1. the violation of the provisions of Article 19, Article 29, or Article 63;

2. the violation of the provisions of Article 55 mutatis mutandis applying Article 19 or Article 29 thereunder; or

3. the violation of the provisions of Article 81 or Article 88 mutatis mutandis applying Article 63 thereunder.

  • Article 19

Any directors, supervisors, or their individual representatives, managers, or employees of a futures exchange shall keep confidential any information relevant to futures transactions acquired through the performance of their duties.

  • Article 29

Representatives of member directors or supervisors, non-member directors or supervisors, or any employees of the membership futures exchange shall not, for their own interest and using any trading account, either on their own behalf or by commissioning others, trade futures contracts in such futures exchange.

The persons referred to in the preceding Paragraph are prohibited from, providing funds to, sharing profits or losses with, or involving in any other business with any members of the exchange; however, the above restriction shall not apply to the representatives of member directors or supervisors who perform such acts for the interests of the members they represent.

  • Article 55

The provision provided in Chapter II regarding the futures exchange shall apply mutatis mutandis to futures clearing house unless otherwise provided for by this Chapter or with regards to the latter part of Article 34 of this Act.

  • Article 34

A futures exchange organized as a company shall be a company limited by shares; the shareholding of any shareholder shall not exceed five percent of the paid-in capital in the said company unless an approval was granted by the Competent Authority under special circumstances.

  • Article 63

No responsible persons, associated persons or any other employees of a futures commission merchant may in any way:

1. divulge any information regarding matters mandated by his/her traders or any secrets with regard to all matters coming to his/her knowledge in the course of performing his/her duties;

2. guarantee a futures trader a profit;

3. make a commitment to a futures trader to share profit or loss;

4. use the account or name of a futures trader to engage in proprietary trading;

5. offer the use of the name or account of his/her own or of any other person to a futures trader for futures trading; or

6. make exaggerated or biased advertisement or disseminate false information.

  • Article 81

The provisions of Article 17, Article 18, and Articles 57 to 78 shall apply mutatis mutandis to leverage transaction merchants.

  • Article 88

The provisions of Article 17, Article 18, Article 57 to Article 61, Article 63 to Article 66, and Article 74 shall apply mutatis mutandis to the futures services enterprises.

  • Article 116

A person shall be punished with imprisonment for a period not exceeding three years, detention, and/or a criminal fine of not more than NT$2.4 million for any of the following offenses:

1. the violation of Paragraph 2 of Article 13, except where the provider does not know that it is an illegal futures exchange or is engaging in illegal futures exchange business;

2. the violation of Article 63;

3. the violation of Article 81 mutatis mutandis applying Article 63 thereunder by the responsible person, associated person, or any other employees of a leverage transaction merchant; or

4. the violation of Article 88 mutatis mutandis applying Article 63 thereunder by the responsible persons, associated person or any other employees of a futures services enterprise.

  • Article 117

A person shall be punished with imprisonment for a period not exceeding one year, detention, and/or a criminal fine of not more than NT$1.8 million for any of the following offenses:

1. the violation of the provisions of Article 12, Article 19, or Article 29; or

2. the violation of Article 55 mutatis mutandis applying Article 19 or Article 29 thereunder by a futures clearing house.

 

Should a juristic person commit the offenses prescribed in the preceding two paragraphs, its responsible actor(s) shall be punished, and in addition, the juristic person shall be subject to the fines set out in the preceding two paragraphs.

  • Article 44, Paragraph 1

Those that are not an electronic payment institution but engage in any business under Subparagraphs 2~4, Paragraph 1 of Article 3 herein shall be punishable by imprisonment for not less than three (3) year and not more than ten (10) years, and in addition thereto, a fine of not less than NT$20,000,000 and not more than NT$500,000,000.

  • Article 3, Paragraph 1 to 2

The term "electronic payment institution" as used in this Act shall mean a company approved by the competent authority to accept, through a network or electronic payment platform, the registration and opening of an account by users that keeps track of their funds transfer and funds deposit records (referred to as "e-payment account" hereunder), and use electronic equipment to convey the receipt/payment information via connection to engage in the following businesses in the capacity of an intermediary between payers and recipients, excluding companies that engage only in business under the first subparagraph below and where the total balance of funds collected/paid and kept by them as an agent does not exceed a certain amount:

1. Collecting and making payments for real transactions as an agent.

2. Accepting deposits of funds as stored value funds.

3. Transferring funds between e-payment accounts.

4. Other businesses approved by the competent authority.

The method for calculating the total balance of funds collected/paid as an agent and the certain amount referred to in the proviso of the preceding paragraph shall be prescribed by the competent authority.

  • Article 44, Paragraph 2

Those that fail to apply to the competent authority for approval in accordance with Paragraph 3 of Article 3 or Article 45 herein or have applied for approval according to rules but were rejected by the competent authority and still engage in the business under Subparagraph 1, Paragraph 1 of Article 3 herein shall be punishable by imprisonment for not more than five (5) years, and in addition thereto, a fine of not more than NT$100,000,000.

  • Article 3, Paragraph 3

A company that is in a situation as provided in the proviso of Paragraph 1 hereof shall apply to the competent authority for approval to establish an electronic payment institution within six (6) months from the date the total balance of funds collected/paid and kept by it as an agent exceeds a certain amount prescribed by the competent authority.

  • Article 54

For an entity that is already engaging in the business under Subparagraph 1, Paragraph 1 of Article 3 before this Act becomes effective, and that the total balance of funds collected/paid and kept by it as an agent already exceeds a certain amount set by the competent authority pursuant to Paragraph 2 of the same article, the responsible person of the entity shall, within six (6) months from the date on which this Act becomes effective, submit documentation required under Paragraph 1, Article 10herein to the competent authority to apply for approval.

  • Article 10, Paragraph 1

To apply for approval to engage exclusively in businesses under the subparagraphs of Paragraph 1, Article 3 herein, the promoters or responsible persons shall submit the following documents to the competent authority:

1. Application form.

2. The roster of the promoters or directors and supervisors, and evidential documents;

3. The minutes of promoters' meeting or board of directors meeting;

4. An explanation of the sources of funds;

5. The articles of incorporation;

6. A business plan describing the scope of business, principles and direction of business operations and actual implementation methods, market prospects, risk and benefit analysis, and a CPA-certified assessment of budget sufficient to meet the needs of information system and proper business operations in the next five years;

7. Personal information of general manager or the designated general manager;

8. Internal business guidelines and business procedures;

9. Agreements or templates therefor between relevant parties involved in the electronic payment business regarding their respective rights and obligations;

10. Description of information system and security management operations to be adopted for the electronic payment business;

11. Description of CPA-certified clearing and settlement mechanism for the business transactions of electronic payment institution;

12. Description of CPA-certified safeguard mechanism for funds received from users and trust agreement, performance guarantee agreement or templates therefor; and

13. Other documents as required by the competent authority.

  • Article 46, Paragraph 2

Should a juristic person commit the offense prescribed in the preceding paragraph, its responsible actor(s) shall be punished, and in addition, the juristic person shall be subject to the fine set out in the preceding paragraph.

  • Article 46, Paragraph 1

Violation of Paragraph 2 of Article 14 herein by cooperating with or assisting foreign institutions to engage in activities inside the Republic of China associated with any business under the subparagraphs of Paragraph 1, Article 3 herein without the approval of the competent authority, or failing to apply to the competent authority for approval in accordance with Article 56 herein, or having applied for approval according to rules but engaging in activities associated with the aforementioned business after being denied approval by the competent authority shall be punishable by imprisonment for not more than three (3) years, detention or in lieu thereof, or in addition thereto, a fine of not more than NT$5,000,000.

  • Article 14, Paragraph 2

Unless with approval from the competent authority, nobody may cooperate with foreign institutions or assisting them to engage in activities inside the Republic of China associated with any business under the subparagraphs of Paragraph 1, Article 3 herein.

  • Article 56

For an entity that is already cooperating with or assisting foreign institutions to engage in activities inside the Republic of China associated with any business under the subparagraphs of Paragraph 1, Article 3 herein before this Act becomes effective shall, within six (6) months from the date on which this Act becomes effective, apply to the competent authority for approval in accordance with the regulations prescribed pursuant to Paragraph 3, Article 14 herein.

  • Article 14, Paragraph 3

Regulations governing individuals and entities that the competent authority will grant approval to as described in the preceding paragraph, their qualifications, required documentation, scope and modes of cooperating with or assisting foreign institutions to engage in activities inside the Republic of China associated with any business under the subparagraphs of Paragraph 1, Article 3 herein, operations management and other compliance matters shall be prescribed by the competent authority inconsultation with the Central Bank.

 

When the representative, agent, employee or other staff personnel of a juristic person commits any of the offenses provided in the preceding three paragraphs in the performance of duties, the actor shall be punished, and in addition, the juristic person shall be subject to the fines set out in the preceding three paragraphs.

  • Article 30, Paragraph 1

Non-issuers that issue electronic stored value cards without the approval of the Competent Authority shall be punishable by imprisonment for not less than one (1) year and not more than ten (10) years, and in addition thereto, a fine of not less than NT$20,000,000 and not more than NT$500,000,000.

  • Article 30, Paragraph 2

Violation of Paragraph 1, Article 4 herein by signing up contracted merchants without approval of the Competent Authority or violation of Paragraph 2, Article 18 or Paragraph 2, Article 19 herein shall be punishable by imprisonment for not more than seven (7) years, and in addition thereto, a fine of not more than NT$500,000,000.

  • Article 4, Paragraph 1

No entity other than an issuer is allowed to issue electronic stored value cards or sign up contracted merchants.

  • Article 18, Paragraph 1 to 2

Non-bank issuers shall deposit a sufficient amount of reserve when the funds they receive from the electronic stored value cards issued reach a certain amount. Regulations governing the certain amount, percentage for the reserve, method of deposit, adjustment, audit and other matters to be complied with shall be prescribed by the Central Bank of the ROC in compliance with the Competent Authority.

Non-bank issuers shall declare trust in full or obtain full guarantee from a bank for the funds received as mentioned in the preceding paragraph less the required reserve on the next business day of receipt.

  • Article 19, Paragraph 2

A trust enterprise may make use of the trust property only in any of the following manners:

1. Deposit it in banks.

2. Purchase government bonds or bank debentures.

3. Purchase treasury bills or negotiable certificates of deposit.

4. Purchase other financial products approved by the Competent Authority.

  • Article 30, Paragraph 3

Selling electronic stored value cards issued by non-issuers shall be punishable by imprisonment for not more than three (3) years, or detention, or in lieu thereof, or in addition thereto, a fine of not more than NT$5,000,000.

 

Where the representative of a juristic person, the agent, employee or any other staff member of a juristic person or natural person, commits any of the crimes provided for in the preceding paragraph in his/her course of business, not only the perpetrator shall be punished as prescribed, the juristic person or natural person shall also be punished with the fine prescribed in the preceding paragraph.

  • Article 27, Paragraph 1

Exportation/importation of strategic high-tech goods under any of the following circumstances, shall be punishable with imprisonment for not more than five (5) years, detention, or, in lieu of or in addition to, a fine of not more than NT$1,500,000:

1.Where such goods are transported to restricted regions without authorization;

2.Where, after import permits are granted, such goods are transferred to restricted regions without authorization prior to being imported;

3.Where, after being imported, the use or end user of such imported goods are changed without authorization from the original declaration to the production or development of military weapons, such as nuclear or biochemical weapons, or ballistic missiles.

 

If any representative, agent, employee or other worker of a juristic person commits an offense referred to in the provisions of Article 24 while executing his/her duties, not only the actor shall be punished in accordance with the provision of the preceding paragraph, the juristic person shall also be fined as prescribed in the preceding paragraph.

  • Article 24

No enterprise shall, for the purpose of competition, make or disseminate any false statement that is capable of damaging the business reputation of another.

 

Shall any representative, agent, employee or other staff of a juristic person be punished for the violation of Article 18 in conducting business, not only the violator shall be punished in accordance with the preceding paragraph, the juristic person shall also be fined as prescribed in the preceding paragraph.

  • Article 29, Paragraph 1

If any person violates the provisions of Article 18, the violator shall be punished by imprisonment for not more than seven years and at the same time may be fined not more than one hundred million New Taiwan Dollars.

  • Article 18

Multi-levels sales enterprises shall have participants engaged in promoting and selling goods or service in reasonable market price as their major income, instead of earning mainly by introducing new participants.

 

In case that the representative of the legal person, or agent of the legal or natural person commits the violations stipulated in the preceding paragraph, in addition to punishing the offender(s), a criminal fine as referred to in the preceding paragraph shall also be imposed upon the legal or natural person concerned.

  • Article 9, Paragraph 1

Any person with the nationality of the Republic of China that invests in or operate foreign flag fishing vessels and commits fish laundering shall be liable to imprisonment for a period between six (6) months and three (3) years, and may be liable to an additional criminal fine between six (6) million and thirty (30) million New Taiwan Dollars.

 

Although punishment is to be imposed to the responsible person(s) in accordance with other provisions, in the event that the responsible person(s), agent, employee(s) or a staff member of a legal entity comment any of punishable under Article 38 through Article 40 of this Act, the legal entity shall also be punished by the fine described in each such article.

  • Article 38

In the event of a violation of Article 35 of the Banking Act, which is, mutatis mutandis, applicable pursuant to Article 37 of this Act, punishment by imprisonment for not more than three (3) years, detention, and/or a fine of not more than Five Million New Taiwan Dollars (NT$ 5,000,000) shall be imposed. However, if a more sever punishment is stipulated in other laws, such more severe punishment shall be imposed.

  • Article 37

The regulation of credit cooperatives shall be governed, mutatis mutandis, by Articles 5 to 9, 11 to 17, 22 to 24, 26, 30 to 35, 36 to45, 48, 49, 51, 55 to 57, 62 to 69, 74 to 76, and 79 of the Banking Law.

  • Article 35 of The Banking Act of The Republic of China

Neither the responsible person nor any staff member of a Bank shall accept, under any pretense, commissions, rebates and the amount of other unwarranted benefits from depositors, borrowers or other customers.

  • Article 38-1

A person who damages the credit of a credit cooperative by spreading rumors or by fraud shall be punished by imprisonment for less than five (5) years and a fine of less than Ten Million New Taiwan Dollars (NT$10,000,000).

  • Article 38-2

The responsible person or staff member of a credit cooperative may be punished to a fixed-term imprisonment of not less than three(3)years and not more than ten(10)years, plus an applicable fine of not less than Ten Million New Taiwan Dollars(NT$10,000,000)and not more than Two Hundred Million New Taiwan Dollars (NT$200,000,000), for causing any damage to the property or other interests owned by the credit cooperative by committing any conduct in violation of their job responsibilities with the intent of receiving illegal gains for the interest of such individual or any third party, or to cause any damage to the credit cooperative. If the valuables or property interests acquired from such criminal conduct has exceeded One Hundred Million New Taiwan Dollars (NT$100,000,000), a punishment of fixed-term imprisonment for not less than seven (7)years, plus an applicable fine of not less than Twenty Five Million New Taiwan Dollars (NT$25,000,000)and not more than Five Hundred Million New Taiwan Dollars(NT$500,000,000)will be imposed.

If not less than two responsible persons or staff members jointly commit the acts described in the preceding paragraph, the punishment may be increased by up to one-half of the specified punishment.

Attempts to commit the acts described in the first paragraph shall be punishable.

  • Article 38-3

Whoever, with the intent of taking possession for that individual or any third party, causes the creditcooperativeto deliver any valuable of the creditcooperativeor any third party by fraud, or produces any record of acquisition or loss, or change of property right by entering false information or wrongful direction into a computer or relevant equipment of the creditcooperative, will be punished to a fixed-term imprisonment of not less than three (3) years and not more than ten (10) years, plus an applicable fine of not less thanTen Million New Taiwan Dollars (NT$10,000,000) and not more thanTwo Hundred Million New Taiwan Dollars (NT$200,000,000) if the valuables or property interests acquired from such criminal conduct has exceeded One Hundred Million New Taiwan Dollars (NT$100,000,000).

Those who use methods described in the preceding paragraph to obtain the illegal benefit of assets or cause a third party to do so shall likewise be subject to the specified punishments.

Attempts to commit the acts described in the preceding two paragraphs shall be punishable.

  • Article 38-4

An offender of Article 38-2 or Article 38-3 who turns himself in after committing the crime and voluntarily submits any or all of the criminal gains shall have a lighter or discharge of punishment imposed; if another offender or an accomplice is discovered, the punishment shall be discharged.

An offender of Article 38-2 or Article 38-3 who confesses during the investigation and voluntarily submits any or all of the criminal gains shall have a lighter punishment imposed; if another offender or an accomplice is discovered, the punishment shall be reduced to one-half of the original penalty.

If the criminal gain of any valuables or property interests acquired by an offender of Article 38-2, Paragraph 1 and Article 38-3, Paragraph 1 or Paragraph 2 has exceeded the maximum fine, the penalty may be increased up to the amount of such criminal gain of any valuables or property interests; the punishment shall be increased for another one-half of the original penalty if the stability of the financial market is harmed thereof.

  • Article 38-5

Where a gratuitous act done by a responsible person, staff member of a Financial Holding Company under Article 38-2, Paragraph 1, or by a committer of a violation under Article 38-3, Paragraph 1, damages the rights of a credit cooperative, the credit cooperative may petition a court to void the act.

Where a non-gratuitous act done by a responsible person, staff member of a Financial Holding Company, or a committer of a violation as referred to in the preceding paragraph is done with the knowledge, at the time of commission, that it would damage the rights of a credit cooperative, and the beneficiary also knows of such circumstances at the time the benefit is received, the credit cooperative may petition a court to void the act.

When petitioning a court for voidance under either of the preceding two paragraphs, a party may also petition the court to order the beneficiary or any party to whom the benefit has been transferred to restore the status quo ante, unless it was otherwise noted that the party to whom the benefit has been transferred was not aware at the time of transfer that there was cause for voidance.

Any disposition of property between a responsible person, staff member of a credit cooperative, or a committer of a violation as referred to in Paragraph 1 and such a person's spouse, lineal relative, cohabiting relative, parent, or family member shall be deemed a gratuitous act.

Any disposition of property between a responsible person, staff member of a credit cooperative, or a committer of a violation as referred to in Paragraph 1 and any person other than those set forth in the preceding paragraph shall be presumed to be a gratuitous act.

The right to voidance under Paragraphs 1 and 2 shall be extinguished one year after the time the credit cooperative learns there is cause for voidance if the credit cooperative fails to exercise the right, or ten years after the time of the act.

  • Article 38-6

The crimes set forth in Article 38-2, Paragraph 1, and Article 38-3, Paragraph 1, are serious crimes as defined in Article 3, Paragraph 1 of the Money Laundering Control Act. They are subject to the application of relevant provisions of the Money Laundering Control Act.

  • Article 39

In the event of a violation of Article 32, Article 33, Article 33-2, or Article 33-4, Paragraph 1 of the Banking Act which is, mutatis mutandis, applicable pursuant to Article 37 of this Act, the credit cooperative's responsible person shall be punished by imprisonment for a term not more than three (3) years, detention, and/or a fine of not less than Five Million New Taiwan Dollars (NT$ 5,000,000) and not more than Twenty-Five million New Taiwan Dollars (NT$ 25,000,000).

In the event that the amount of credit extended by the credit cooperative exceeds the amount prescribed by the Competent Authority under Article 33 of the Banking Act which is, mutatis mutandis, applicable pursuant to Article 37 of this Act without obtaining approval from not less than three quarters of the directors present in the board meeting at which not less than two-thirds directors are present, or violation of the credit limit and total credit balance extended prescribed by the Central Competent Authority under Article 33, Paragraph 2 of the Banking Act which is, mutatis mutandis, applicable pursuant to Article 37 of this Act, the credit cooperative's responsible person shall be punished by a fine of not less than Two Million New Taiwan Dollars (NT$ 2,000,000) and not more than Ten Million New Taiwan Dollars (NT$ 10,000,000) and the preceding paragraph shall not apply.

  • Article 32 of The Banking Act of The Republic of China

No unsecured credit shall be extended by a Bank to enterprises in which the Bank holds three percent (3%) or more of the total paid-in capital, to its staff members, to its Major Shareholders, to any interested party of its own responsible person or of a staff member in charge of credit extensions. However, the foregoing prohibition on unsecured credit shall not apply to consumer loans and loans extended to the government.

The credit amount of the aforesaid consumer loans shall be as prescribed by the Central Competent Authority.

The term, "Major Shareholder", as set forth in this Act shall mean a shareholder who holds at least one percent (1%) of the total number of issued and outstanding shares of the Bank. Where a Major Shareholder is a natural person, the shares of his/her spouse and the shares of his/her minor children shall be counted in the total number of shares held by such Major Shareholder.

  • Article 33 of The Banking Act of The Republic of China

For any secured credit extended by a Bank to enterprises in which the Bank holds at least five percent (5%) of the total paid-in capital of said enterprises, to its own responsible person, to its staff members, to its Major Shareholders, to any interested party of its own responsible person or of a staff member in charge of credit extensions, the terms of such extended credit shall not be more favorable than those terms offered to other same category customers. If the credit amount to be extended by a Bank exceeds the amount prescribed by the Central Competent Authority, a Bank needs the concurrence of at least three-quarters of all of such Bank's directors present at a meeting attended by at least two-thirds of the directors, to extend such credit.

[In addition to the foregoing], the amount of the aforesaid connected credit extension to each related party, the aggregate amount of such credit extensions thereof, the terms and conditions of such credit extension and the same category customers referred to under this preceding Paragraph shall be prescribed by the Central Competent Authority after consultation with the Central Bank of China.

  • Article 33-2 of The Banking Act of The Republic of China

A Bank shall not "cross" extend unsecured credit to the responsible person or a Major Shareholder of such Bank's correspondent bank or to an enterprise whose responsible person is also the responsible person of the correspondent bank. Any secured [cross] credit extension thereof shall be handled in accordance with Article 33 of this Act.

  • Article 33-4, Paragraph 1 of The Banking Act of The Republic of China

The foregoing shall apply to persons falling under Articles 32, 33 or 33-2 who use other persons' names to apply for credit extensions.

  • Article 40

In the event of a violation of resolution measures ordered by the Central Competent Authority in accordance with Article 62, Paragraph 1 of the Banking Act which is, mutatis mutandis, applicable pursuant to Article 37 of this Act, if the said violation is sufficient to cause damage to the public or others, the credit cooperative's responsible person(s) for the violation shall be punished by imprisonment for not less than one (1) year and not more than seven (7) years, and may be fined not more than Twenty Million New Taiwan Dollars (NT$ 20,000,000).

Commission of any of the following acts by a credit cooperatives directors, supervisors, managerial officers, or other staff members in connection with the Competent Authority sending officials to supervise or take over the business operations or order of suspension of the business and resolution measures shall be punished by imprisonment for not less than one (1) year and not more than seven (7) years, and may be fined not more than Twenty Million New Taiwan Dollars (NT$ 20,000,000):

1. Refusing to deliver the books, documents, chops and assets related to the credit cooperative business or finance to the supervisors, receivers or resolution manager designated by the Competent Authority, refusing to provide information as to the necessary matters in connection with assets and liabilities of the credit cooperative to such persons, or refusing such persons' requests to carry out necessary acts for supervising, taking over or resolution.

2. Concealing or damaging the books or other documents regarding a credit cooperative business or financial condition;

3. Concealing or destroying a credit cooperative properties, or making other decisions to the detriment of creditors;

4. Failing to replay, without justification, to inquiries from the officials sent by the Competent Authority to supervise or take over or take resolution measures for business operations; or

5. Fabricating claims or accepting false claims.

  • Article 62, Paragraph 1 of The Banking Act of The Republic of China

When there is a concern that a Bank is unable to pay its debts when due or there might detriment to the depositors' interests due to obvious deterioration in the Bank's business or financial status, the Competent Authority shall assign officials to take receivership over the Bank, order such a Bank to suspend and wind up business, or take other necessary measures. If deemed necessary, the Competent Authority may notify relevant authorities or institutions to prohibit the Bank's responsible person from transferring, delivering or creating other rights in his/her properties, and/or request the immigration agency to prohibit the responsible person from departing the country.

 

 

In the case of the responsible person of the juridical person, representative of the juridical person or natural person, employees or other operational personnel who violate the foregoing two articles; the punishment shall be imposed not only on the offender, but the juridical person or natural person shall also be fined pursuant to the said articles.

  • Article 45

For those that violate Article 12, Article 18, Paragraph 1, Article 28, Paragraphs 1 and 7, Article 36, Paragraph 1, Article 38, Paragraph 1, Article 39, Paragraph 1, or Article 41, Paragraph 1, thereby causing human death, permanent imprisonment or at least seven years' imprisonment shall be imposed and may be combined with a fine of no more than thirty million New Taiwan Dollars; thereby causing serious human injury, three to ten years’ imprisonment shall be imposed and may be combined with a fine of no more than twenty five million New Taiwan Dollars; thereby endangering human health and causing illness, one to seven-year imprisonment shall be imposed and may be combined with a fine of no more than twenty million New Taiwan Dollars.

Two to seven years' imprisonment shall be imposed to those who forging or altering the fee collection verification labels referred to in Article 24, Paragraph 3, which may be combined with a fine of no more than ten million New Taiwan Dollars.

One to seven years' imprisonment shall be imposed to those who sell the fee collection verification labels referred to in the foregoing paragraph, which may be combined with a fine of no more than ten million New Taiwan Dollars.

  • Article 12

The transport, sorting, storage, discharge, methods, equipment and reuse of general waste recycling, clearance and disposal shall comply with the regulations of the central competent authority; the central competent authority shall determine regulations for these matters.

The enforcement authority may, based on the special characteristics of designated clearance areas, add general waste sorting, storage and discharge regulations in the foregoing paragraph, and shall report these to the higher competent authority for future reference.

  • Article 15

For articles and the packaging and containers thereof that, after consumption or use, are sufficient to produce general waste possessing one of the following characteristics and cause concern of serious pollution to the environment, the manufacturer or importer of the articles and the packaging and containers thereof at issue or the manufacturer or importer of the raw materials shall bear responsibility for recycling, clearance and disposal and the vendor shall bear responsibility for recycling, clearance work.

I. Difficult to clear or dispose of.

II. Contains a component that does not readily decompose over a long period.

III. Contains a component that is a hazardous substance.

IV. Is valuable for recycling and reuse.

The central competent authority shall officially announce the scopes for the articles and the packaging and containers thereof and the enterprises responsible for recycling, clearance and disposal in the foregoing paragraph.

  • Article 18, Paragraph 1

For general waste that is produced after the consumption or use of the articles or the packaging and containers thereof officially announced pursuant to Article 15, Paragraph 2 (herein referred to as "regulated recyclable waste"), recycling, storage, clearance and disposal shall comply with the regulations of the central competent authority; the central competent authority shall determine recycling, storage, clearance and disposal method and facility standards.

  • Article 28, Paragraph 1

The disposal of industrial waste, with the exception of that subject to reuse methods, shall be performed in accordance with the following methods:

I. Self-clearance and disposal.

II. Joint clearance and disposal: enterprises submit an application to the industry competent authority for permission for the establishment of a joint waste clearance and disposal organization to clear and dispose of the category of waste at issue.

III. Commissioned clearance and disposal:

A. Commission a public and private waste clearance and disposal organization that has received competent authority permission for the clearance and disposal of the category of waste at issue to perform clearance and disposal.

B. Commission the enforcement authority to perform clearance and disposal after receiving enforcement authority's consent.

C. Commission a clearance and disposal facility installed by the industry competent authority itself or through its guidance to perform clearance and disposal.

D. Commission a waste clearance and disposal facility installed by a public enterprise designated by the competent authority to perform clearance and disposal.

E. Commission a clearance and disposal facility installed by a private organization that has signed an investment contract with the sponsoring authority pursuant to the Promotion of Private Participation in Infrastructure Projects Act to perform clearance and disposal.

F. Commission a waste disposal facility of an enterprise receiving permission pursuant to the management regulations prescribed by Article 29, Paragraph 2 to perform disposal.

IV. Other methods that receive central competent authority's permission.

  • Article 28, Paragraph 7

Facilities operated for the clearance and disposal of general waste or general industrial waste shall not simultaneously clear or dispose of hazardous industrial waste.

  • Article 36, Paragraph 1

Methods and facilities for storage, clearance and disposal of industrial waste shall meet regulations designated by the central competent authority.

  • Article 38, Paragraph 1

The import, export, transit and transshipment of industrial waste may commence only after receipt of permission granted by the special municipality, county or city competent authority; for hazardous industrial waste, additional approval from the central competent authority is necessary. However, wastes that are officially categorized as industrial raw material by the central competent authority after consultation with the industry competent authority are not subject to this provision.

  • Article 39

Reuse of industrial waste shall be processed in accordance with the regulations stipulated by the central industry competent authorities or central competent authority, and shall not be restricted by Article 28 or Article 41.

The management regulations governing the category, quantity, permission, permission deadlines, cancellation, records, declaration and labeling of the reused products of the reuse industrial waste referred to in the foregoing paragraph and other matters required to be complied with shall be enacted by the central industry competent authority in consultation with the central competent authority and the reuse industry competent authority. However, when the industrial waste involves the reuse of two or more industries, the central competent authority is responsible for enacting a unified regulation for reuse categories and management methods if considering it necessary.

  • Article 41, Paragraph 1

Enterprises that engage in waste clearance or disposal shall submit public or private waste clearance and disposal organization permission applications to the special municipality, county or city competent authority or organization commissioned by the central competent authority, and only after the permission is granted shall the organization be commissioned for the clearance and disposal of waste. However, it is not limited to any of the following circumstances:

I. The recycling, clearance, disposal and reuse of general waste performed by the enforcement authority pursuant to Article 5, Paragraphs2 and 6 and Article 12, Paragraph 1.

II. The facilities or equipment prescribed by Article 8 for emergency disposal of the waste.

III. Clearance and disposal of the general waste according to the method announced or approved by the central competent authority as prescribed by Article 14, Paragraph 2.

IV. Recycling, storage, clearance or disposal of general waste pursuant to Article 18, Paragraph 1.

V. The clearance machinery, disposal facilities or equipment referred to in Article 28, Paragraph 1, Subparagraph 2. Subparagraph 3, Item 2 to 5 and Subparagraph 4.

VI. The disposal facilities installed by or through the guidance of the industry competent authority pursuant to Article 33 and Article 34.

VII. The facilities installed by the central competent authority in conjunction with the central industry competent authority pursuant to Article 35, Paragraph 1.

VIII. Other matters announced by the central competent authority.

  • Article 46

In any of the following circumstances, one to five years imprisonment shall be imposed and may be combined with a fine of no more than fifteen million New Taiwan Dollars:

I. Arbitrary disposal of hazardous waste.

II. The responsible person of the enterprise or relevant person fails to store, clear, dispose of or reuse waste pursuant to this Act, thereby causing environmental pollution.

III. Providing land refilling or waste piling without permission from the competent authority.

IV. Conducting waste storage, clearance, disposal without obtaining the waste clearance and disposal permission pursuant to Article 41, Paragraph 1; or storing, clearing and disposing of waste not in accordance with the content designated in the waste clearance and disposal permission.

V. Personnel of the enforcement authority authorize clearance and disposal of general waste to the enterprise without valid permission document; or authorize when knowing there is illegal conduct of clearance and disposal.

VI. Responsible person or relevant personnel of a public or private waste disposal organization, or personnel of the enforcement authority issue a false certificate for the waste not being disposed of.

 

For those circumstances in which a statutory responsible person of a juridical person, or an agent, employee or other working personnel of a juridical person or natural person, due to the performance of business activities, violates, Article 34 to 37, in addition to the perpetrator being punished pursuant to the regulations of each article violated, said juridical person or natural person shall also be fined up to ten times pursuant to the regulations of each Article violated.

  • Article 34

Those that violate Article 27, Paragraph 1, Article 28, Paragraph 1 by failure to adopt emergency response measures promptly or that fail to comply with orders issued by the competent authority pursuant to Article 27, Paragraph 4, Article 28, Paragraph 1 or those that fails to comply with an order to suspend work or the suspend business issued by the competent authority pursuant to this Act, shall be punished by a maximum of three years imprisonment, detention and/or a fine of NT$200,000 to NT$5 million.

Those that fail to comply with an order to suspend activities issued by the competent authority pursuant to this Act, shall be punished by a maximum of one year imprisonment, detention and/or a fine of NT$100,000 to NT$500,000.

  • Article 27, Paragraph 1

When there is concern of the serious endangerment of human health, agricultural or aqua cultural production, or drinking water sources due to the discharge of wastewater or sewage by an enterprise or sewage system, the statutory responsible person shall adopt emergency response measures promptly and notify the local competent authority within three hours.

  • Article 27, Paragraph 4

Under the circumstances in Paragraph 1, in addition to ordering the adoption of necessary control measures, the competent authority shall, for those serious circumstances, also order the suspension of business or the partial or complete suspension of work.

  • Article 28, Paragraph 1

Maintenance and preventive measures shall be adopted for those circumstances in which there is concern of the leakage through negligence of pollutants or wastewater or sewage into a water body from the conveyance or storage equipment installed by an enterprise or sewage system; for those circumstances in which leakage through negligence causes the pollution of a water body, emergency response measures shall be adopted promptly and the local competent authority notified within three hours of the occurrence of the accident. In addition to ordering the adoption of necessary control measures, the competent authority shall, for those serious circumstances, also order the suspension of business or the partial or complete suspension of work.

  • Article 35

Those that have reporting obligations pursuant to this Act that knowingly report false information or keep false records of their operations shall be punished by a maximum of three years imprisonment, detention and/or a fine of NT$200,000 to NT$3 million.

  • Article 36

When the concentrations of the toxic or harmful substances in the wastewater or sewage, which are discharged into the soil or surface water bodies by an enterprise, exceed all kinds of regulation covered in the Act, the enterprise shall be punished by a maximum of three years imprisonment, detention and/or a fine of NT$200,000 to NT$5 million.

An enterprise that injects into groundwater bodies any wastewater or sewage containing toxic or harmful substances shall be punished with imprisonment for at least one year and not more than seven years, detention and/or a fine of NT$200,000 to NT$20 million.

Those that violate the provisions of Paragraph 1 and have one of the following circumstances, shall be punished by a maximum of five years imprisonment and/or a fine of NT$200,000 to NT$15 million.

I. Lack a discharge permit or simple discharge permit document;

II. Violate Article 18-1, Paragraph 1; or

III. Violate Article 32, Paragraph 1.

The central competent authority shall officially announce the types and quality limits of substances harmful to health in Paragraph 1 and Paragraph 2.

The statutory responsible person, or supervisor who violated Articles 34 to Paragraph 3 of this Article shall be subject to the punishment prescribed for such an offense by increasing the penalty up to one half.

  • Article 18-1, Paragraph 1

Enterprises or sewage systems that discharged wastewater or sewage shall follow an approved collection, disposal unit, and flow process, drain from an approved and registered discharge point or from a discharge point authorized by the sewage management agency into a sewage system, and not reroute discharge.

  • Article 32, Paragraph 1

Wastewater or sewage may not be injected into groundwater bodies or discharged into soil. However, wastewater or sewage that has been treated to the extent that it complies with soil treatment standards and the regulations determined pursuant to Article 18, and has been reviewed and approved by the special municipality, county or city competent authority, issued a permit and reported to the central competent authority for approval may be discharged into soil.

  • Article 37

Those that violate Article 34, the above Article, or the wastewater or sewage discharges exceed effluent standards, and thereby cause human death, shall be punished by life imprisonment or a minimum of seven years imprisonment and may be fined a maximum of NT$30 million; those that cause severe injury shall be punished by three to ten years imprisonment and may be fined a maximum of NT$25 million; those that cause harm to human health such that leads to illness or severe environmental pollution shall be punished by one to seven years imprisonment and may be fined a maximum of NT$20 million.

 

For those circumstances in which a representative of a juridical person, or an agent, employee or other working personnel of a juridical person or natural person, violates, due to the performance of business activities, Article 32 and preceding articles, in addition to the perpetrator being punished pursuant to the regulations of each article violated, said juridical person or natural person shall also be fined pursuant to the regulations of each article violated.

  • Article 32

Those that violate Article 7, Paragraph 5 by not adopting necessary response measures, or who fail to comply with orders given by a special municipality, county, or city competent authority pursuant to Article 15, Paragraph 1, Subparagraph 1 and Paragraph 2, thereby causing human death, shall be punished by life imprisonment or a minimum of seven years imprisonment, and may be fined a maximum of NT$5 million; those that cause severe injury shall be punished by three to ten years imprisonment and may be fined a maximum of NT$3 million.

  • Article 7, Paragraph 5

If a competent authority at any level discovers during the course of verification work that pollution of soil, bottom sediment, or groundwater may affect human health, agricultural or aqua cultural production, or drinking water sources, it may adopt necessary response measures in accordance with Article 15, Paragraph 1; and in order to mitigate the effect of pollution or prevent the expansion of pollution, may order a polluter, person potentially responsible for pollution, or site user, manager, or owner to implement the necessary response measures in Article 15, Paragraph 1, Subparagraphs 3, 4, 7, and 8.

  • Article 15

The competent authorities with local jurisdiction shall, according to actual circumstances at control or remediation sites, adopt the following emergency response measues to mitigate pollution harm or prevent pollution expansion.

I. order polluters to cease activities, suspend business or partially or completely suspend work;

II. investigate groundwater pollution circumstances pursuant to the Water Pollution Control Act and search out persons liable for such pollution; if necessary, inform residents to stop using the groundwater or other polluted water sources, and restrict the digging of wells to obtain groundwater;

III. provide necessary alternative drinking water or notifying tap water authorities to provide access to tap water supply as a priority;

IV. Erect notification signs or fences;

V. In conjunction with the agriculture and health competent authority, perform testing of agricultural or aquacultural products contaminated by or suspected of being contaminated by soil pollution; and, when necessary, control or destroy such products in conjunction with the agriculture and health competent authority, and provide appropriate compensation for the destroyed products, or restrict the use of agricultural land to the cultivation of specific crops.

VI. evacuate residents or control people's activities;

VII. remove or dispose of pollutants; and

VIII. other response measures as necessary.

A special municipality, county, or city competent authority may order the polluter, person potentially responsible for pollution, or interested party of the polluted land, or commission a third party, to implement the necessary response measures in Subparagraphs 3, 4, 7, and 8 of the foregoing paragraph.

  • Article 33

Those that pollute the soil deliberately with the intention to change the classification of land use shall be punished by one to ten years imprisonment and may be fined a maximum of NT$1 million.

Those who pollute the soil or groundwater deliberately, causing the land to become a pollution control site or remediation site, shall be punished by one to five years imprisonment.

Those who commit the violations in the foregoing two paragraphs, thereby causing human death, shall be punished by shall be punished by life imprisonment or a minimum of seven years imprisonment, and may be fined a maximum of NT$5 million; those that cause severe injury shall be punished by three to ten years imprisonment and may be fined a maximum of NT$3 million.

  • Article 34

Those polluters, persons potentially responsible for pollution, interested parties of the polluted land, employees of analysis organizations, and assessment and investigation personnel specified in Articles 8 and 9 who have reporting obligations pursuant to this Act and who keep false records shall be punished by a maximum of three years imprisonment, detention and/or a maximum fine of NT$1 million.

Those representatives of enterprises officially announced by the central competent authority who provide or submit false soil pollution assessment and investigation data pursuant to Articles 8 and 9 shall be fined a maximum of NT$1 million.

  • Article 8

If land used by an enterprise officially announced by the central competent authority is transferred, the assignor shall provide soil pollution assessment investigation and test data, which shall be reported to the special municipality, county, or city competent authority for future reference.

If a land assignor fails to provide relevant data as prescribed in the foregoing paragraph, when the land is officially announced as a control site or remediation site, the assignor will have the same responsibility as that prescribed in Article 31, Paragraph 1 of this Law.

  • Article 9

When any one of the following situations applies, an enterprise officially announced by the central competent authority shall submit site soil pollution assessment investigation and test data prior to the action in question, and shall request the special municipality, county, or city competent authority, or an agency commissioned by the central competent authority, to perform review:

I. Acquisition of an enterprise establishment license or registration, or application for a business license, in accordance with law.

II. Change of business operator.

III. Change of industry category. However, enterprises whose industry category before and after the change is one which has been officially announced by the central competent authority shall be exempt from this requirement.

IV. Change of scope of operating site.

V. Implementation, in accordance with law, of termination of business, cancellation of operating permit or business license, termination of operation (shipping), plant (facility) closure, or discontinuation of production, manufacturing, or processing.

In the foregoing paragraph and Paragraph 1 of the foregoing article, the central competent authority shall determine regulations governing the content of soil pollution assessment investigation and test data, times of reporting, documents that must be submitted, assessment investigation methods, times of testing, the qualifications, training, and commissioning of assessment investigation personnel, review operating procedures, and other binding matters.

  • Article 35

Those who fail to comply with the orders of a special municipality, county, or city competent authority given pursuant to Article 15, Paragraph 1, Subparagraph 1 shall be punished by a maximum of one year of imprisonment and detention, and/or may be fined a maximum of NT$30,000.

 

If an offense under Article 34 or the third paragraph of Article 35 is committed in the course of the performance of business, the perpetrator who is the responsible person of a legal entity or the agent, employee, a staff member of an individual or a legal entity will be punished in accordance with the relevant provision, additionally, the legal entity or the individual shall also be punished by the fine described in each such article.

  • Article 34

Any violation of article 10 is punishable by a term of imprisonment of not less than six months and not more than five years, and may additionally be punishable by a fine of not more than 600,000 New Taiwan Dollars.

The above term of imprisonment will be increased by 50% if the violation under the first paragraph results in calamity. The violation, if causing death to another, will be punishable by a term of imprisonment of not less than five and not more than twelve years, and may additionally be punishable by a fine of not more than 1,000,000 New Taiwan Dollars. If causing grave injury, said violation will be punishable by a term of imprisonment of not less than three and not more than ten years, and may additionally be punishable by a fine of not more than 800,000 New Taiwan Dollars.

The violation under the first paragraph, if committed out of negligence to the extent that calamity results, will be punishable by imprisonment not more than one year and may additionally be punishable by a fine of not more than 600,000 New Taiwan Dollars.

Attempts at committing the offense under the first paragraph are punishable.

All reclaimed and cultivated objects, work objects and work materials, as well as machines and tools used in the event of an offense under this article will be confiscated, regardless of whether they belong to the offender.

  • Article 9

Any operator, user or owner of slopeland operating or utilizing the land for the following purposes shall treat and maintain soil and water conservation of the entirety of the land which it operates or utilizes:

1.Operating or utilizing land for agricultural or animal husbandry purposes;

2.Operating, utilizing or logging land for forestry purposes;

3.Repairing, building or maintaining for reservoir or road;

4.Prospecting mineral deposits, mining, exploiting or piling soil and gravel, or establishing relevant ancillary facilities;

5.Developing land for housing construction;

6.Developing or operating land for park, forest amusement park, recreation area, athletic facility, or military training camp;

7.Developing or operating land for cemetery ;

8.Treating solid waste; and

9.Developing or using slopeland for other purposes.

  • Article 10

Unauthorized reclamation, cultivation or occupancy of public or otherwise owned slopeland is not permitted. Development, operation or utilization of such land for the purposes specified in subparagraphs 1 to 9 of the preceding article, is also not permitted.

  • Article 35, Paragraph 3

An act under either of the subparagraphs of the first paragraph is punishable by a term of imprisonment of not less than six months and not more than five years. Punishment may also include a fine of not more than 600,000 New Taiwan Dollars if said act results in the washaway of soil and water , in damage to soil and water conservation treatment and maintenance facilities, or in calamity. If such act causes death to another, it is punishable by a term of imprisonment of not less than three and not more than ten years, and may additionally be punishable by a fine not more than 800,000 New Taiwan Dollars. If such act causes grave injury, it is punishable by a term of imprisonment of not less than one and not more than seven years, and may additionally be punishable by a fine not more than 600,000 New Taiwan Dollars.

  • Article 35, Paragraph 1

A fine of not less than 60,000 and not more than 300,000 New Taiwan Dollars will be imposed for cases in which:

1.No soil and water conservation plan has been formulated, as is required by law, or a soil and water conservation plan has been implemented without having been approved, or that is not in accordance with the approved version;

2.A violation of paragraph one, article 25 has not been rectified within the specified time period.

 

Where the responsible person for a juristic person (entity), the agent, the employee or any other practitioners of a juristic person (entity) or natural person, who commits in the performance of his(/her) duties any of the offences prescribed in the preceding three (3) Articles, not only shall the wrongdoer be punished in accordance with the respective Articles but the aforesaid juristic person (entity) or natural person shall be fined as in each of those Articles.

  • Article 32

One who commits any of the following acts (or omission) shall be punished with imprisonment for not more than three (3) years, or detention; or in lieu thereof or in addition thereto, a fine of not more than New Taiwan Dollars Three Million (NT$ 3,000,000):

1. Operating the facilities in violation of Paragraph 1 or Paragraph 3 of Article 9, or Paragraph 1 or Paragraph 2 of Article 18.

2. Violating Paragraph 1 of Article 13 or Article 22, to which Paragraph 1 of Article 13 is applicable, mutatis mudandis, not to obey the order of the competent authorities to prohibit him (her) from construction or operation.

One who disposes of radioactive waste shall be published with imprisonment for not more than five (5) years, or detention; or in lieu thereof or in addition thereto, a fine of not more than New Taiwan Dollars Six Million (NT$6,000,000).

One who commits negligently the offence specified in the preceding Paragraph shall be punished with imprisonment for not more than one (1) year, or detention; or in lieu thereof or in addition thereto, a fine of not more than New Taiwan Dollars Two Million (NT$ 2,000,000.00).

  • Article 9, Paragraph 1

Even after the completion of construction of production (and/)or storage facilities of nuclear source material (and/)or nuclear fuel, the facilities shall not be formally operated, until the competent authorities have inspected the construction engineering and qualified the pre-operation thereof, and have issued an operation license therefor.

  • Article 9, Paragraph 3

The valid period of the license referred to in Paragraph 1 of this Article is forty (40) years at longest, and when there is need to continue operation after the license is expired, an application shall be filed two (2) years prior to expiration thereof with the competent authorities for renewing the license thereof. The operation thereof shall not be continued without the renewal of license as per the prescription.

  • Article 18, Paragraph 1 to 2

Even after the completion of the construction of treatment, storage (and/)or final disposal facilities of radioactive waste, the facilities shall not be formally operated, until the competent authorities have approved and issued an operation license thereof.

The valid period of the license referred to in the preceding Paragraph 1 shall be prescribed by the competent authorities; and when there is need to continue operation after the license is expired, an application shall be filed two (2) years prior to expiration thereof with the competent authorities for renewing the license thereof. The operation thereof shall not be continued without the renewal of license as per the prescription.

  • Article 13, Paragraph 1

During the construction (and/)or operation period of production (and/)or storage facilities of nuclear source material (and/)or nuclear fuel, the competent authorities may dispatch the inspector(s) to inspect the facilities at anytime, and may ask the operator to submit relevant materials; and if there is anything not conform to the prescription or if the public health, safety or environmental ecology may be hazarded, the competent authorities shall order the operator to improve the situation or take any other necessary measures within a limited time period. If the operator does not improve it in the limited time period or the situation is serious, the competent authorities may order the operator to cease construction or operation thereof or may revoke the license.

  • Article 22

Article 13 is applicable, mutatis mutandis, to the administration and/or the relevant punishment as to the construction and/or operation period of treatment, storage and/or final disposal facilities of radioactive waste.

  • Article 33

One who violates Paragraph 1 of Article 8 or Paragraph 1 of Article 17 to construct the facilities arbitrarily shall be punished with an (administrative) fine of more than New Taiwan Dollars Five Million (NT$5,000,000) but not more than New Taiwan Dollars Twenty-Five Million (NT$25,000,000) and shall be ordered to prohibit from construction and to supplement formalities; and when it is necessary, the person may be ordered to dismantle the facilities within a limited time.

If an order to prohibit from construction has been issued in accordance with the preceding Paragraph but the construction is resumed arbitrarily or the facilities have not been dismantled within the prescribed time limit, one shall be punished with an (administrative) fine of more than New Taiwan Dollars Ten Million (NT$10,000,000) but not more than New Taiwan Dollars Fifty Million (NT$50,000,000), and shall be compulsorily executed to dismantle the facilities.

If after the facilities have been compulsorily dismantled according to the preceding Paragraph, the construction is resumed arbitrarily and an order to prohibit therefrom is not obeyed, one shall be punished with imprisonment for not more than one (1) year, or detention; and in addition thereto, a fine of not more than New Taiwan Dollars Ten Million (NT$10,000,000) may be imposed.

  • Article 8, Paragraph 1

For the construction of production and/or storage facilities of nuclear source material and/or nuclear fuel, an application for construction license shall be filed with the competent authorities, and the construction shall not commence until the application has been reviewed and approved (by the competent authorities) to satisfy the following prescription and the competent authorities have issued a construction license therefor:

1. The purpose of construction is consistent with that of peaceful use of atomic energy; and

2. The equipment and the facilities are sufficient to secure the public health and safety; and

3. The impact to the environmental ecology complies with the prescription of relevant laws/statutes and decrees; and

4.The technology, the management ability and the financial basis, etc., of the applicant are competent to operate the facilities.

  • Article 17, Paragraph 1

For the construction of treatment, storage and/or final disposal facilities of radioactive waste, an application for construction license shall be filed with the competent authorities, and the construction shall not commence until the application has been reviewed and approved (by the competent authorities) to satisfy the following prescription and the competent authorities have issued a construction license therefor:

1. The construction is consistent with the prescription of the relevant international conventions; and

2. The equipment and the facilities are sufficient to secure the public health and safety; and

3. The impact to the environmental ecology complies with the prescription of relevant laws/statutes and decrees; and

4. The technology, the management ability and the financial basis, etc., of the applicant are competent to operate the facilities.

  • Article 34

One who does not submit the decommission plan, the closure plan, or the institutional control plan according to Paragraph 1 of Article14, or Paragraph 1 or Paragraph 2 of Article 23 respectively, shall be punished with an (administrative) fine of more than New Taiwan Dollars Two Million (NT$2,000,000) but not more than New Taiwan Dollars Ten Million (NT$10,000,000), and shall be ordered to submit the plan(s) in a limited time.

One who violates Paragraph 1 of Article 14, or Paragraph 1 or Paragraph 2 of Article 23 not to implement the decommission plan, the closure plan, or the institutional control plan approved by the competent authorities shall be punished with an (administrative) fine of more than New Taiwan Dollars Five Million (NT$5,000,000) but not more than New Taiwan Dollars Twenty-Five Million (NT$25,000,000).

One who fails to submit the decommission plan, the closure plan, or the institutional control plan within the limited time period ordered in accordance with Paragraph 1 of this Article shall be punished with imprisonment for not more than one (1) year, or detention; and in addition thereto, a fine of not more than New Taiwan Dollars Ten Million (NT$10,000,000) may be imposed.

  • Article 14, Paragraph 1

For the permanent cease of operation of production and/or storage facilities of nuclear source material and/or nuclear fuel, the operator shall prepare a decommission plan and shall implement it after the same has been reported to and approved by the competent authorities; and during the implementation period, the competent authorities may dispatch the inspector(s) to inspect the same at anytime; and after the completion of decommission, the operator shall report it to the competent authorities for inspection.

  • Article 23, Paragraph 1 to 2

For the permanent cease of operation of treatment, storage and/or final disposal facilities of radioactive waste, the operator shall prepare a decommission plan and shall implement it after the same has been reported to and approved by the competent authorities.

For the closure of the final disposal facilities of radioactive waste, the operator shall prepare the closure plan and the institutional control plan and shall implement the same after they have been reported to and approved by the competent authorities.

 

For those circumstances in which the representative of a juridical person, or an agent, employee or other working personnel of a juridical person or natural person violates, due to the performance of business activities, any provisions of Articles 51 to 54, Article 55 (1), or Article 56, in addition to the perpetrator being punished pursuant to the regulations of each article violated, said juridical person or natural person shall also be fined a maximum sum ten times the amount of the fine imposed on the perpetrator pursuant to the regulations of each article violated.

  • Article 51

Those that violate Article 33 (1) by failure to adopt emergency response measures promptly or that fail to comply with orders issued by special municipality, county or city competent authorities pursuant to Article 33 (2), and thereby cause human death, shall be punished by life imprisonment or a minimum of seven years imprisonment and may be fined a maximum of NT$30 million. Those that cause severe injury shall be punished by three to ten years imprisonment and may be fined a maximum of NT$25 million. Those that cause harm to human health such that it leads to illness shall be punished by six months to five years imprisonment and may be fined a maximum of NT$20 million.

  • Article 33

When stationary pollution sources of public or private premises emit a large quantity of air pollutants due to a sudden accident, the statutory responsible person shall promptly adopt emergency response measures and shall notify the special municipality, county or city competent authority within at least one hour.

Under the circumstances in the preceding paragraph, the special municipality, county or city competent authority may, in addition to ordering the public or private premises to adopt necessary measures or ordering the public or private premises to suspend the operation of the stationary pollution sources at issue, issue air quality deterioration alerts and take response measures.

Air pollution emergency response measures and plans shall be established and periodically reviewed by public or private premises and shall be submitted to the special municipality, county or city competent authority for its approval before being implemented precisely.

The central competent authority shall determine regulations for the issuance of deterioration alerts, notification methods and response measures indicated in Paragraph 2 and the contents and execution methods of the air pollution emergency response measures and plans indicated in the preceding paragraph.

  • Article 52

Those that violate the regulations for import or export restriction which are determined pursuant to Article 31 (2) shall be punished by life imprisonment or by six months to five years imprisonment and may be fined a sum of not less than NT$300,000 and not more than NT$1.5 million.

  • Article 31

The central competent authority may prohibit or restrict substances that are: prone to cause air pollution which are controlled under international environmental protection conventions; and the manufacture, import, export, sale or use of products manufactured from or filled with such substances.

The central competent authority in consultation with relevant agencies shall officially announce the substances and products in the preceding paragraph. The central competent authority in consultation with relevant agencies shall determine management regulations for the permit application, review procedures, cancellation, records, reporting and other binding matters for the manufacture, import, export, sale or use of these substances and products.

  • Article 53

If public and private premises with stationary pollution sources that emit air pollutants through exhaust pipes violate the standards for air pollutant emission limits which are determined pursuant to Article 20 (2) and thereby cause human death or harm to health, they shall be punished by a maximum of seven years imprisonment and may be fined a sum of not less than NT$1 million and not more than NT$15 million.

  • Article 20

Public and private premises with stationary pollution sources that emit air pollutants shall comply with emission standards.

The central competent authority in consultation with relevant agencies shall determine the emission standards in the preceding paragraph based on specially designated industry categories, facilities, pollutant items or areas. Special municipality, county and city competent authorities may draft more stringent individual emission standards due to special needs and submit these standards to the central competent authority for approval in consultation with relevant agencies.

The emission standards in Paragraph 1 shall include hazardous air pollutants, and the emission standards shall be determined based on the result of health risk evaluation and feasibility of control technology.

The central competent authority shall officially announce types of the hazardous air pollutants mentioned in the preceding paragraph and the operation of health risk evaluation.

  • Article 54

If those that have application or reporting obligations pursuant to the Act file applications based on false information, knowingly report false information or keep false records of their operations, they shall be punished by a maximum of three years imprisonment, detention and/or a fine of NT$200,000 to NT$5 million.

  • Article 55

Those that lack air pollution control equipment or fail to run air pollution control equipment and burn substances prone to cause particular harm to health shall be punished by a maximum of three years imprisonment, detention and/or a fine of NT$200,000 to NT$5 million.

The central competent authority shall officially announce the substances prone to cause particular harm to health in the preceding paragraph.

  • Article 56

For those circumstances in which public or private premises fail to comply with an order to suspend work or suspend business issued by the competent authority pursuant to the Act, the statutory responsible person shall be punished by a maximum of three years imprisonment, detention and/or a fine of NT$200,000 to NT$5 million.

Those that fail to comply with an order to suspend operation issued by the competent authority pursuant to Article 33 (2) or Article 67 (2) or an order to suspend activities issued by the competent authority pursuant to Article 67 (2) shall be punished by a maximum of one year imprisonment, detention and/or a fine of NT$200,000 to NT$1 million.

  • Article 67

Those that violate any provisions of Article 32 (1) shall be fined NT$1,200 to NT$100,000; those violators that are industrial or commercial facilities or sites shall be fined NT$100,000 to NT$5 million.

Those that are fined pursuant to the preceding paragraph shall be notified to make improvements within a limited time period. If they still fail to make improvements by the deadline, they shall be penalized consecutively per violation. In severe circumstances, orders may be issued for the suspension of activities or suspension of operation of pollution sources, or for the suspension of work or suspension of business. When necessary, operating permits may be cancelled or orders issued for the termination of business.

  • Article 32, Paragraph 1

The following acts are prohibited within each class of control region or within total quantity control zones.

1. Engagement in burning, melting, refining, grinding, casting, conveyance or other operation that causes the production of significant particulate pollutants that are dispersed into the air or onto the property of others;

2. Engagement in construction projects, piling of powdered or granular materials, transportation of construction materials or waste, or other industrial processes without appropriate control measures that causes airborne dust or polluted air;

3. Placement, mixing, stirring, heating or baking of substances, spontaneous combustion due to improper management, or engagement in other operations that causes odorous pollutants or toxic gases;

4. Use, conveyance or storage of organic solvents or other volatile substances that causes odorous pollutants or toxic gases;

5. Food preparation by the food and beverage industry that causes the dispersal of oily smoke or odorous pollutants; and

6. Other air polluting acts officially announced by competent authorities at all levels.

 

 

  • Article 56, Paragraph 4

Any of the responsible persons, agents, employees, or other parties of the legal individuals who commit crimes indicated in the preceding 3 Sections when performing duties would be punished respectively; and the legal individual itself will also be Subjected to the fine prescribed in the preceding Sections.

  • Article 56, Paragraph 1 to 3

Any party who endangers public safety by causing natural gas leakages would be sentenced to imprisonment for not more than 5 years, short-term detention; in lieu thereof, or in addition thereto, a fine between NT$ 500,000 and 1,000,000.

If the offense charged in the preceding Section results in death, the offender would be sentenced to life imprisonment or imprisonment for more than 7 years; in addition thereto, a fine not more than NT$ 10,000,000; if the offence charged in the preceding Section results in serious physical injury, the offender would be sentenced to imprisonment between 3 and 10 years; in addition thereto, a fine not more than NT$ 5,000,000 will be prescribed.

Any party who negligently committed an offence specified in Section 1 would be sentenced to imprisonment for not more than 2 years, short-term detention; in lieu thereof, or in addition thereto, a fine between NT$ 200,000 and 400,000.

 

If the offender of the preceding paragraph is a corporate person, its acting responsible person will be punished and the corporate person itself will also be subjected to the fine prescribed in the preceding paragraph.

  • Article 39, Paragraph 3

If any of the violations described in the first paragraph results in public endangerment, the offender will be sentenced to a maximum of three years imprisonment or detention and/or be fined a minimum of NT$1,000,000 and a maximum of NT$5,000,000.

  • Article 39, Paragraph 1

A business in any of the following situations will be fined a minimum of NT$2,000,000 and a maximum of NT$10,000,000:

1.In violation of the provisions specified in the first paragraph of Article 6 herein (i.e., failing to obtain an oil refinery operation license while conducting oil distillation, refining, or blending other than for the purpose of a trial run).

2.In violation of provisions specified in Article 10 herein (i.e., failing to obtain an oil import operation license) and in violation of Articles 12 or 13 herein (i.e., failing to acquire a special permit for oil imports) while conducting oil imports.

  • Article 6, Paragraph 1

After a business receives an establishment permit for an oil refinery, it must set up a separate company or change its own registration. After doing one of these and then completing a trail run, the business can apply for an operation license to refine oil. A business may not start refining oil until it has been granted an operation license and can apply for one by submitting the following documents to the central competent authority:

1. Company license.

2. Factory registration permit.

3. Documents verifying that the oil storage facility has the capacity to comply with the security stockpile requirement as specified in Article 24 herein. If the facility is leased, lease documents must be provided as evidence.

4. Other documents as required and promulgated by the central competent authority.

  • Article 10

A business may not import oil until it has obtained an operation license from the central competent authority to do so. A business must submit the following documents to apply for said operation license:

1. Company license.

2. Documents verifying that the oil storage facility has the capacity to comply with the security stockpile requirement as specified in Article 24 herein. If the facility is leased, lease documents must be provided as evidence.

3. Other documents as required and promulgated by the central competent authority.

  • Article 12

Manufacturers of petrochemical feedstock may apply to the central competent authority for special permission to import petroleum products for private use. The application submitted must state the particulars listed below. In addition, a factory registration permit along with a business registration permit and must be attached to the application.

1. The types and volume of petroleum products to be imported along with the planned use period for them.

2. The production process.

3. The types, volume, and proportions of petrochemical materials to be produced.

4. The types, volume, and proportions of petroleum by-products to be produced.

5. The use status of the most recent petroleum products imported for private use, including import types, volume, actual volume used, types and volume of petrochemical materials produced, types and volume of petroleum by-products produced, and their actual export or sales.

The petroleum by-products produced by such a manufacturer must be either exported or purchased by oil refinery operators.

The exporter of the aforesaid petroleum by-products must be properly registered in accordance with Article 15 herein.

If the manufacturer mentioned in the first paragraph is in any of the situations described in either Item 1 of the first paragraph of Article 45 or of Items 1, 2, 4, or 7 of Article 50 herein, the central competent authority will withhold the approval of this manufacturer's application for six months starting from the day after the penalty is imposed on the manufacturer.

An oil or non-oil business that imports petroleum grade solvent oil or lubricant must file a report with the central competent authority within ten days of any importation. The report must state the name and location of the principal business, the name and domicile or residence of its responsible person, the types, quantity, and usage of the product imported. Imports by petrochemical enterprises sanctioned by the industrial authority are exempt from this provision.

  • Article 13

If a business meets any of the conditions listed below, it may apply to the central competent authority for special permission to import petroleum products. The application must include the name and location of the principal business, the name and domicile or residence of the responsible person, and types along with the volume of the petroleum products to be imported.

1. If an oil refinery operator needs oil for a trial run.

2. If a petrochemical feedstock manufacturer needs petroleum products for a trial run.

3. If an establishment needs oil for research and testing purposes.

4. If an establishment needs to import petroleum products for special applications that are either not produced domestically and if products of similar specifications are not available domestically.

5. If an establishment needs to import less than one kilogram of a petroleum product (other than gasoline or diesel oil) packed in a container.

  • Article 15

To set up an oil export business, an application must be submitted to the central competent authority. The application must state the name and location of the principal business, its scope of business, the name and domicile or residence of the person responsible for the business. An export plan for the business must be attached. A business is not allowed to start an oil export operation until its application has been approved and a registration certificate issued by the central competent authority.

Due to the unexpected accident in domestic oil market that resulted in the imbalance of oil supply or any doubt of that, central competent authority then can restrict the oil exporter to export the oil.

As for the determination, restricted duration, conditions and methods of the imbalance of oil supply or any doubt of that aforesaid shall be promulgated by the central competent authority, dissolve is likewise.

Export of oil by a non-oil business for research and testing purposes should require the approval of the central competent authority under special case status.

  • Article 45, Paragraph 1, Subparagraph 1

Any of the following offenses will result in a minimum fine of NT$1,000,000 and a maximum fine of NT$5,000,000:

1. A petrochemical feedstock manufacturer violating the first paragraph of Article 12 herein (i.e., using imported petroleum products for purposes other than private use).

  • Article 50, Subparagraph 1, 2, 4, 7

Any of the following offenses will result in a fine of a minimum of NT$100,000 and a maximum of NT$500,000:

1. A violation of the second paragraph of Article 12 herein (i.e., selling petroleum by-products to businesses or individuals other than oil refinery operators).

2. A violation of the third paragraph of Article 12 herein (i.e., failing to register to export oil with the authorities concerned as required by Article 15 herein).

4. A violation of the second and third paragraphs of Article 28 herein (i.e., obstructing, refusing, or evading an inspection).

7. A violation of Item 3 of the first paragraph of Article 35 (i.e., selling petroleum by-products to oil refinery operators without paying the required fees into the Petroleum Fund).

  • Article 40, Paragraph 4

In the event the offender mentioned in the preceding paragraph is a corporate person, its acting responsible person will be punished and the corporate person itself will also be subjected to the fine prescribed in the preceding paragraph.

  • Article 40, Paragraph 3

In the event any of the violations described in the first paragraph results in public endangerment, the offender will be sentenced to a maximum of two years of imprisonment or detention and/or fined a minimum of NT$600,000 and a maximum of NT$3,000,000.

  • Article 40, Paragraph 1

A business in any of the following situations shall be fined a minimum of NT$1,000,000 and a maximum of NT$5,000,000:

1. In violation of the provisions specified in the second paragraph of Article 16 herein (i.e., engaging in the gasoline or diesel oil wholesale business without registering with the competent authority).

2. In violation of provisions specified in the first or second paragraph of Article 17 herein (i.e., engaging in retailing of gasoline, diesel oil, or LPG for vehicle use).

3. In violation of provisions specified in the first paragraph of Article 18 (i.e., setting up an oil (LPG) filling or storage facility for private use without first acquiring a permit).

4. In violation of provisions specified in the first paragraph of Article 33 (i.e., by failing to acquire permission for the installation of an oil storage facility).

  • Article 16, Paragraph 2

To set up a gasoline or diesel oil wholesale business, an application must be submitted to the central competent authority. The application must state the company name and location, its scope of business, and the name and domicile of the person responsible for the business. The articles of incorporation of the business as well as its sales plan must be attached to the application. The business may begin operations only after it has obtained a registration certificate.

  • Article 17, Paragraph 1 to 2

Retailers of gasoline, diesel oil, or LPG for vehicles must set up a gasoline station, a LPG station, or a fishing boat filling station. This provision does not apply to oil refinery operators, importers, or gasoline and diesel oil wholesalers who retail gasoline or diesel oil for private-use filling or storage facilities or for non-vehicle use.

Operators of gasoline stations, LPG stations, or fishing boat filling stations must apply to the competent authority of a special municipality, a county, or a city government for a construction permit. Operators may begin operations only after their station facilities have passed an inspection given by the competent authority of the special municipality, the county, or the city government that the operators are located in and after acquiring an operation permit for the stations from the central competent authority.

  • Article 18, Paragraph 1

Passenger-cargo transport businesses, construction businesses, factories, or other entities that want to set up gasoline (LPG) filling and storage facilities to supply their own vehicles or machinery must apply for special permission from the competent authority of the special municipality, the county, or the city government that the business is located in.

  • Article 33, Paragraph 1

Oil businesses must apply to the competent authority of the special municipality, the county, or the city government in which the business is located for permission to install oil storage facilities. The central competent authority will prescribe the rules governing the application procedures, land uses, requirements, and other administrative matters.

 

Any representative of an entity or agent of an entity or natural person, employee, or other personnel who commits offenses set forth in the preceding two Paragraphs due to the performance of business activities, in addition to the punishment imposed on the perpetrator, the entity or natural person shall also be fined not more than ten times of the stated amount.

  • Article 17, Paragraph 1 to 2

A person who, for the purpose of profit, violates Paragraph 1 of Article 7 and provides or uses reclaimed water that is likely to be harmful to human health shall be sentenced to imprisonment for not more than three (3) years, detention or a fine of no less than NT$300,000 and no more than NT$3,000,000. In the event that it is harmful to human health, he or she shall be sentenced to imprisonment for not more than five (5) years, detention and/or a fine of no less than NT$500,000 and no more than NT$5,000,000.

If death results from the commission of an offense specified in the preceding paragraph, the perpetrator shall be sentenced to imprisonment for life or not less than seven (7) years, and may be fined not more than NT$15,000,000. If serious body injury results from the commission of the offense, the perpetrator shall be sentenced to imprisonment not less than three (3) years and no more than ten (10) years, and may be fined not more than NT$10,000,000.

  • Article 7, Paragraph 1

The reclaimed water shall not be directly used as drinking water or be used by the food industry and pharmaceutical industry.

 

  1. Nuclear Reactor Facilities Regulation Act
  • Article 31

Where the responsible person for a juristic entity, the agent for the employee or any other practitioner of a juristic entity or natural person, commits in the performance of his or her duty any of the offences prescribed in Paragraph 2 of Article 29 or Paragraph 3 of the preceding Article, not only shall the wrongdoer be punished in accordance with the respective Article but the aforesaid juristic entity or natural person shall also be fined as in each of those Articles.

  • Article 29

One who commits any of the following acts shall be punished with an administrative fine of more than New Taiwan Dollars Three Million but no more than New Taiwan Dollars Fifteen Million, and should be ordered to cease the activities on the scene, or the operation, or to operate only under a limited power:

1. Loading the nuclear fuel or operating in violation of Paragraph 1, or Paragraph 2 of Article 6.

2. Violating Paragraph 1 of Article 11 to employ any unlicensed personnel to manipulate the control of a nuclear reactor, or to manipulate the control of a nuclear reactor without the license.

3. Violating Paragraph 1 of Article 14 to possibly endanger the public health or safety or environmental ecology; whereas, the situation is serious but it has not been improved, or none of the necessary measures has been taken within the prescribed time period.

One who fails to observe the competent authorities' regulations referred to in the preceding Paragraph shall be punished with imprisonment for not more than three years, or detention, or in lieu thereof or in addition thereto, a fine of no more than New Taiwan Dollars Three Million.

  • Article 6, Paragraph 1 to 2

Even after the completion of construction of nuclear reactor facilities, the facilities shall not be loaded with the nuclear fuel, unless the competent authorities have reviewed and approved its final safety analysis report, and the corrective actions of inspection findings during the construction and the system functional tests thereof have been passed.

Unless the competent authorities have reviewed and approved the power test therefor and then issued an operating license therefor, no nuclear reactor facilities, having been loaded with the nuclear fuel, shall be formally operated.

  • Article 11, Paragraph 1

One who has not obtained the nuclear reactor operator license shall not manipulate the control of the nuclear reactor, provided, however, that the following personnel are exempted:

1. The student of school or the personnel attending the operation training, who manipulates the control of a research nuclear reactor for the training purpose under the guidance on the scene and the responsibility of the licensed operator.

2. The trainee having attended the operator training and passed the test and examination of the competent authorities, who manipulates the control of a nuclear reactor for the purpose of apprenticeship for the duty to be taken charge of under the guidance on the scene and the responsibility of the licensed operator.

  • Article 14, Paragraph 1

During the construction or the operation period of nuclear reactor facilities, the competent authorities may dispatch the inspector to inspect the facilities at anytime, and may require the licensee to submit relevant materials; wherein, the licensee shall not evade, interfere with or refuse the same. If there is anything not conform to the prescription or if the public health/safety or environmental ecology may be endangered, the competent authorities shall order the licensee to improve the situation or take any other necessary measures within a prescribed time period. If the situation is serious, the licensee does not improve it nor take necessary measures within the prescribed period, the competent authorities may order the licensee to cease the working on the scene, or operation thereof, or may revoke the license or permit the operation only under a limited power.

  • Article 30

One who violates Paragraph 1 of Article 5 to construct the facilities shall be punished with an administrative fine of more than New Taiwan Dollars One Million but no more than New Taiwan Dollars Five Million and shall be ordered to prohibit from construction and to supplement modus formalities; and when it is necessary, the person may be ordered to dismantle the facilities within a prescribed time period.

If an order to prohibit from construction has been issued in accordance with the preceding Paragraph but the construction is resumed, or the facilities have not been dismantled within the prescribed period, one shall be punished with an administrative fine of more than New Taiwan Dollars Two Million but no more than New Taiwan Dollars Ten Million, and shall be compulsorily executed to dismantle the facilities.

If after the facilities have been compulsorily dismantled according to the preceding Paragraph, the construction is resumed and an order to prohibit therefrom is violated, one shall be punished with imprisonment for no more than three year, or detention; and in addition thereto, a fine of no more than New Taiwan Dollars Three Million may be imposed.

  • Article 5, Paragraph 1

For the construction of nuclear reactor facilities, an application for construction permit shall be filed with the competent authorities, and the construction shall not commence until the application has been reviewed and approved by the competent authorities to meet with the following standards and requirements and the competent authorities have issued a construction permit therefor:

1. The purpose of construction shall be consistent with that of peaceful use of atomic energy;

2. The equipment and the facilities shall be sufficient to protect the public health and safety;

3. The impact to the environmental protection and ecological protection shall comply with the provisions under relevant laws/statutes and decrees;

4. The technical, the management ability and the financial data, etc., of the applicant shall be competent to operate the facilities.

 

 

  • Article 40, Paragraph 2

Where a crime stipulated in preceding paragraph is committed by a legal entity, in addition to punishing the individual responsible for the entity, the fine set forth in the preceding paragraph shall also be levied against said legal entity.

  • Article 40, Paragraph 1

Any violation of the provisions of Article 6 Paragraph 1 or Article 16 Paragraph 1 resulting in the occurrence of an accident as set forth in Article 37 Paragraph 2 subparagraph 1 may be subject to a maximum of three years imprisonment, detention and/or a fine of a maximum of NT$300,000.

  • Article 6, Paragraph 1

The employers shall have the necessary safety and health equipment and measures that comply with regulations for the following items:

1. To prevent the risks of injuries posed by items such as machinery, equipment, and tools;

2. To prevent the risks of injuries posed by materials of an explosive or flammable nature;

3. To prevent the risks of injuries posed by electricity, heat, and other energy sources;

4. To prevent the risks of injuries encountered in the course of activities such as quarrying, excavating, loading and unloading, transportation, stockpiling, collecting and logging;

5. To prevent the risks of injuries posed by falling, falling objects, or collapse at the job site;

6. To prevent the risks of injuries posed by high-pressure gas;

7. To prevent the risks of injuries posed by raw materials, materials, gases, vapors, dusts, solvents, chemicals, toxic substances, oxygen-deficient air;

8. To prevent the risks of injuries posed by radiation, high temperature, low temperature, ultrasonic waves, noise, vibration, and abnormal atmospheric pressure;

9. To prevent the risks of injuries posed by monitoring instruments or high precision operations;

10. To prevent the risks of injuries posed by waste gases, waste liquids and residues;

11. To prevent the risks of injuries posed by flood and fire;

12. To prevent the risks of injuries posed by animals, plants, or microorganisms;

13. To prevent the risks of injuries posed by passages, floors, and stairways;

14. To prevent the risks of injuries posed by failure to adopt adequate ventilation, lighting, illumination, temperature control, or humidity control.

  • Article 16, Paragraph 1

Employers shall not use machinery or equipment specified as dangerous by the central competent authority without passing an inspection by a labor inspection agency, or by a certificated inspection agency designated by the central competent authority; where such usage exceeds the stipulated period, the machinery and facilities shall not be used without passing a re-inspection.

  • Article 37, Paragraph 2, Subparagraph 1

Employers shall notify a labor inspection agency within eight hours of the occurrence of one of the following types of occupational accidents at the place of duty of business entities:

1. Accidents involving death;

  • Article 41, Paragraph 2

Where a crime stipulated in the preceding paragraph is committed by a legal entity, in addition to punishing the individual responsible for the entity, the fine set forth in the preceding paragraph shall also be levied against said legal entity.

  • Article 41, Paragraph 1

Those in one of the following violations may be subject to a maximum of one year imprisonment, detention, and/or a criminal fine of up to NT$180,000,:

1. Violations of the provisions of Article 6 Paragraph 1 or Article 16 Paragraph 1 resulting in the occurrence of accidents as set forth in Article 37 Paragraph 2 subparagraph 2.

2. Violations of the provisions of Article 18 Paragraph 1, Article 29 Paragraph 1, Article 30 Paragraph 1 or 2, or Article 37 Paragraph 4.

3. Violations of a notice to suspend works issued by the central competent authority or labor inspection agency per Article 36, Paragraph 1.

  • Article 18, Paragraph 1

When there is a concern of a potential imminent danger at a workplace, the employers or people responsible for the worksite shall immediately issue orders to halt work and withdraw laborers to a safe location.

  • Article 29, Paragraph 1

Employers shall not employ persons under the age of 18 to perform any of the following potentially dangerous or harmful work:

1. Work in tunnels;

2. Work involving the handling of explosives or flammable substances;

3. Work at sites where lead, mercury, chromium, arsenic, yellow phosphorus, chlorine, hydrogen cyanide, aniline, or other harmful substances are spread;

4. Work at sites where harmful level of radiation is present;

5. Work at sites where harmful level of dust is present;

6. Work involving the cleaning, lubrication, inspection, repair, or the installation or removal of belts or chains on moving machinery or the dangerous parts of power transmission apparatus.

7. Work involving the connecting of electrical wires carrying over 220 volts of electricity;

8. Work involving the handling of smelted minerals or slag;

9. Work involving the ignition or operation of a boiler;

10. Work involving the operation of a rock drill or other machinery with excessive vibration;

11. Work involving the handling of objects above a specific weight;

12. Work involving the operation of a crane or derrick crane;

13. Work involving the operation of a powered winch, powered carrier, or cableway;

14. Work involving the operation of rolling and grinding mills for rubber compounds or synthetic resins;

15. Other work determined to be of a potentially dangerous or hazardous nature by the central competent authority.

  • Article 30, Paragraph 1

Employers shall not employ a pregnant female laborer to perform any of the following potentially dangerous or harmful work:

1. Work in tunnels;

2. Work at a site where lead and its compounds are spread;

3. Work under abnormal air pressure conditions;

4. Work involving the handling of or exposure to Toxoplasma gondii, rubella, or other microorganisms or viruses which potentially affect the health of the fetus;

5. Work involving the handling of or exposure to carbon disulfide, trichloroethylene, ethylene oxide, acrylamide, ethylenimine, arsenic and its compounds, mercury and its inorganic compounds, and other chemicals designated as hazardous by the central competent authority;

6. Work involving the operation of a rock drill or other machinery with excessive vibration;

7. Work involving the handling of objects above a specific weight;

8. Work at a site where harmful level of radiation is present;

9. Work involving the handling of smelted minerals or slag;

10. Work involving the operation of a crane or derrick crane;

11. Work involving the operation of a powered winch, powered carrier, or cableway;

12. Work involving the operation of rolling and grinding mills for rubber compounds or synthetic resins;

13. Work involving the handling of or exposure to disease or lethal microorganisms designated potentially infectious by the central competent authority;

14. Other work determined to be of a potentially dangerous or harmful nature by the central competent authority.

  • Article 30, Paragraph 2

Employers shall not employ female laborers who are still within their first postpartum year to perform any of the following potentially dangerous or hazardous work:

1. Work in tunnels;

2. Work at sites where lead and its compounds are spread;

3. Work involving the operation of a rock drill or other machinery involving excessive vibration;

4. Work involving the handling of objects above a specific weight;

5. Other work determined to be of a potentially dangerous or hazardous nature by the central competent authority.

  • Article 36, Paragraph 1

The central competent authority and labor inspection agencies may carry out inspections of places of duty of business entities. Those not conforming to regulations shall be informed of the provisions breached and notified to make improvements within a limited time period. Those failing to make improvements within the specified period of time, or have already had occupational accidents, or for which there is a concern of a potential for occupational accidents to occur may be notified to suspend all or part of their works. Laborers shall be paid their usual wages during the period of work stoppage.

  • Article 37, Paragraph 2

Employers shall notify a labor inspection agency within eight hours of the occurrence of one of the following types of occupational accidents at the place of duty of business entities:

1. Accidents involving death;

2. Accidents causing injuries to three people or more;

3. Accidents causing injuries to one person or more that require hospitalization;

4. All other categories of accidents designated and officially announced by the central competent authority.

  • Article 37, Paragraph 4

In the event that accidents of one of the types set forth in Paragraph 2 occur at business entities, without the permission of the appropriate judicial body or inspection agency, the employers shall not disturb or damage the accident site except for necessary first aid or emergency rescue.

 

When the representative of a business entity, the agent of a business entity or person-in-charge, the representative of a natural person, the representative employees or other representative workers of a business entity performing business duty violates the regulations prescribed above, business entity or the natural person shall be fined as prescribed in the Article in addition to the actor.

  • Article 34, Paragraph 1

In any of the following cases, the business entity upon conviction is subjected to imprisonment for a maximum of 3 years or to a fine not exceeding NT$150,000 or a combination of the two:

1. Violation of Article 26 to permit workers working in workplaces without prior inspection.

2. Violation of shut-down order as specified in Articles 27 to 29.

  • Article 26

Without the approval of labor inspection agency or having passed inspection(s), the business entity shall not allow workers to work in the following hazardous workplaces:

1. Places which engage in the cracking process of petroleum products in a petrochemical plant.

2. Places which manufacture agricultural chemicals.

3. Factories making fire-crackers and fireworks or gunpowder.

4. Places which install high pressure vessels containing gases or steam boilers which reach the pressure or capacity criteria as set in the regulation by the Central Competent Authority.

5. Places which manufacture, process and use dangerous or hazardous materials in quantities at or exceed the threshold level as specified by the Central Competent Authority.

6. Places of construction projects designated by the Central Competent Authority in consultation with the supervisory authority of the targeted business entities.

7. Other places as designated by the Central Competent Authority.

In the preceding Paragraph to be inspected at places prescribed above shall be determined by the Central Competent Authority.

  • Article 27

When there is a catastrophes and fatal occupational accident occur in a business entity, the labor inspection agency shall assign labor inspector(s) to inspect and investigate the causes and determine the responsible person(s) or party(-ies). If deemed necessary to shut down the workplace in order to prevent further fatality/injury, the labor inspector(s) shall notify the business entity in writing and order partially shut down or completely shut down.

  • Article 28

When an imminent danger to the worker(s) is noted during a safety and health inspection, a labor inspector who is designated by the labor inspection agency shall notify the business entity in writing that shut down must be carried out at the affected workplace/operation.

In the preceding Paragraph with imminent danger prescribed above shall be determined by the Central Competent Authority.

  • Article 29

Where a contravention has not been rectified by the established compliance date and an occupational fatality or injury may occur, the labor inspector shall report to the labor inspection agency in charge. When necessary, the labor inspection agency shall notify the business entity to partially shut down or completely shut down the workplace.

Where the representative of a legal person or the agent, employee or other staff member of a legal or natural person engages in that capacity in business operations which violate the provisions of Article 44 or Subparagraph 1 or 2 of Article 57, not only the offender himself shall be punished in accordance with paragraph 1 of this article, but the legal or natural person concerned shall also be levied therefore the fines or pecuniary penalties as referred to in the same paragraph of the same article.

  • Article 44

No one may illegally let foreign worker stay and engage in work.

  • Article 57, Paragraph 1, Subparagraph 1 to 2

As for employment of foreign worker(s), employer shall not engage in any of the following:

1. Employing a foreign worker without permit or after the expiration of permit therefore, or a foreign worker that has been permitted to be employed at the same time by a third party;

2. Employing in the name of the employer a foreign worker, but in reality causing that foreign worker to engage in work for a third party;

  • Article 64, Paragraph 3

Where the representative of a legal person or the agent, employee or other staff member of a legal or natural person engages in that capacity in business operations which violate the provisions of Article 45, not only the offender himself shall be punished in accordance with paragraphs 1 to 3 of this article, but the legal or natural person concerned shall also be levied therefore the fines or pecuniary penalties as referred to in the respective paragraphs of the same article.

  • Article 45

No one may illegally refer foreign worker to work for any third party.

 

Attention!! The Act will be effective on 2020/1/16

  • Article 52

For those circumstances in which a statutory responsible person of a juridical person, or an agent, employee or other working personnel of a juridical person or natural person, due to the performance of work responsibilities, violates either of the two previous articles, in addition to the perpetrator being punished, said juridical person or natural person shall also be fined up to ten times the fine amount pursuant to the regulations of each article violated.

  • Article 50

In any of the following circumstances, when death results, the responsible party shall be subject to life imprisonment or at least 7 years of imprisonment, and may be fined from NT$5 million to NT$10 million; when serious injury results, the responsible party shall be subject to from 3 to 10 years of imprisonment, and may be fined from NT$3 million to NT$5 million; when health hazards causing disease result, the responsible party shall be subject to from six months to five years of imprisonment, and may be fined NT$1 million to NT$4 million:

I. Violation of the restrictions or prohibitions announced in Paragraph 2, Article 8.

II. Unauthorized handling after failing to obtain a permit as prescribed in Paragraph 1, Article 14 or handling not in compliance with the items listed on the permit.

III. Unauthorized handling after failing to perform registration or obtain approval as prescribed in Paragraph 4 of Article 8, Paragraphs 2 and 3 of Article 13, or Paragraph 1 of Article 25 or handling not in compliance with the items listed on the registration or approval document.

IV. The failure to promptly adopt emergency control measures pursuant to Paragraph 1 of Article 41or comply with an order issued by the competent authority pursuant to Paragraph 3 of the same article.

  • Article 8, Paragraph 2

The central competent authority may restrict or prohibit the handling of Class 1, Class 2 and Class 3 toxic chemical substances.

  • Article 8, Paragraph 4

Prior to handling of Class 4 toxic chemical substances, toxicity and relevant information of the toxic chemical substances shall be reported to special municipality, county or city competent authorities. Such handling shall be performed upon permission of the competent authorities in compliance with authorized items.

  • Article 13

A manufacturer, importer or seller of Class 1, 2 or 3 toxic chemical substances shall apply to the special municipality, county or municipal competent authority for a permit, and shall operate in compliance with the content of the permit.

An enterprise using or storing Class 1, 2 or 3 toxic chemical substances shall apply to the special municipal, county, or city competent authority for registration, and shall operate in compliance with the content of the registration document.

An enterprise disposing of or exporting Class 1, 2 or 3 toxic chemical substances shall apply by the batch or shipment to the special municipality, county or city competent authority for registration, and may only begin handling after doing so.

With regard to the handling of toxic chemical substances prescribed in Paragraphs 1 and 2, when the total quantity handled is less than the graded handling quantity announced in Paragraph 2, Article 11, the case may be reported to the special municipality, county, or city competent authority for approval; after approval has been granted and approval documents obtained, the case shall not be subject to the restrictions of Paragraphs 1 and 2, Article 18, Article 35, and Article 39.

The central competent authority shall determine implementation procedures governing permit, registration, and approval application, review procedures, issuance (replacement or renewal), change, extension, revocation, cancellation, and other binding matters in Paragraphs 1 to 4.

  • Article 25, Paragraph 1

Enterprises handling chemical substances of concern announced shall apply to the special municipality, county or city competent authority for approval and shall implement handling in compliance with the approval document content.

  • Article 41, Paragraph 1

For those toxic chemical substances and concerned chemical substances that have been specified and announced as being hazardous by the central competent authority for which one of the following circumstances applies, the handler shall promptly adopt emergency control measures and, within no longer than 30 minutes, notify the competent authority for the area where the accident occurred.

I. Those circumstances in which the environment surrounding the handling site for which there is concern of suffers pollution due to leakage, chemical reaction or other unexpected accident.

II. Those circumstances in which an unexpected accident occurs during transport and for which there is concern of pollution of the environment or the endangerment of human health.

  • Article 51

When any one of the following situations applies, the responsible party shall be subject to from six months to 5 years of imprisonment, detention, and/or a fine of from NT$1 million to NT$5 million:

I. Violation of the restrictions or prohibitions announced in Paragraph 2, Article 8, causing severe pollution to the environment.

II. Unauthorized handling after failing to obtain a permit pursuant to Paragraph 1, Article 13 or handling not in compliance with the items listed on the permit, causing severe pollution to the environment.

III. Unauthorized handling after failing to obtain registration or approval pursuant to Paragraph 4 of Article 8, Paragraph 2 and 3 of Article 13, or Paragraph 1 of Article 25 or handling not in compliance with the items listed on the registration or approval document, causing severe pollution to the environment.

IV. The failure to promptly adopt emergency control measures pursuant to Paragraph 1 of Article 41or comply with an order issued by the competent authority pursuant to Paragraph 3 of the same article, causing severe pollution to the environment.

V. Those circumstances in which those that have reporting obligations pursuant to the regulations of this Act knowingly report false information or keep false records of their operations.

 

Where the representative of a legal entity or the agent, employees or other practitioners of a legal entity or natural person that commit the offenses from Paragraphs 1 to 3 during the performance of duties, not only shall the wrongdoer be punished but the legal entity or natural person shall also be fined not more than ten times of the fine stipulated in the respective preceding paragraphs.

  • Article 49, Paragraph 1 to 4

In the event that the acts described in Subparagraphs 3, 7 and 10 of Paragraph 1 of Article 15 or Paragraph 1 of Article 16 are committed, imprisonment of not more than seven years, and a fine of not more than NT$80,000,000 may be imposed. If the offense is light, imprisonment of not more than five years, detention and/or a fine of not more than NT$8,000,000 shall be imposed.

In the event that the acts described from Article 44 to the preceding article are severe and may be sufficient to harmful to human health, imprisonment of not more than seven years, and a fine of not more than NT$80,000,000 may be imposed. For such acts are committed to the detriment of human health, imprisonment between one year to seven years and a fine of not more than NT$100,000,000 may be imposed.

In the event that the acts described in the preceding paragraph results in death, a life imprisonment or imprisonment of not less than seven years, and a fine of not more than NT$200,000,000 may be imposed. For such acts causing severe detriment of human body, imprisonment between three years and ten years, and a fine of not more than NT$150,000,000 may be imposed.

Anyone committing any of the offenses described in Paragraphs 1 and 2 out of negligence shall be imprisoned for not more than two year, detained or fined NT$6,000,000.

  • Article 15, Paragraph 1

Foods or food additives with any one of the following circumstances shall not be manufactured, processed, prepared, packaged, transported, stored, sold, imported, exported, presented as a gift or publicly displayed:

1. those that have deteriorated or rotten;

2. those that are unripe and thus harmful to human health;

3. those that are toxic or contain substances or foreign materials that are harmful to human health;

4. those that are contaminated by pathogenic organisms, or have been established by epidemiological survey to be cause of food poisoning;

5. those with pesticide or veterinary drugs residue exceeding the permissible tolerance;

6. those that have been contaminated by and contain nuclear fallout or radioactivity exceeding the permissible tolerance;

7. those that have been adulterated or counterfeited;

8. those that have passed their expiry date;

9. those that have never been provided for human consumption and proven to be harmless to human health;or

10. those that contain food additives that are not approved by the central competent authority.

  • Article 16

Food utensils, food containers or packaging, food cleansers under any of the following circumstances shall not be manufactured, sold, imported, exported or used:

1. those that are toxic;

2. those that tend to cause unfavorable chemical reactions;

3. those that are otherwise harmful to health; or

4. those that may be harmful to health through the risk assessment results.

  • Article 44

Anyone committing any of the following shall be fined between NT$60,000 and NT$200,000,000. In severe circumstances, the enterprise may be ordered to terminate business, suspend business for a certain period of time, revoke all or part of the items listed in the company registration, business registration or factory registration, or registration of the food businesses. If registration of the food businesses is revoked, re-application for new registration within one (1) year shall be prohibited:

1. violating Paragraph 1 or 2 of Article 8, and failing to correct the violation within the time limit prescribed;

2. violating Paragraph 1 or 4 of Article 15 or Article 16;

3. incompliance with order by the competent authority to recover or destruct in accordance to Paragraph 2 of Article 52;

4. violating the public announcement by the central competent authority to ban the manufacture, sale, import or export in accordance to Paragraph 1 of Article 54.

The penalty standards of the fine mentioned in the preceding paragraph shall be prescribed by the central competent authority.

  • Article 45

Those with violations of Paragraph 1 of Article 28 or the regulations prescribed by the central competent authority pursuant to Paragraph 3 of Article 28 shall be fined between NT$40,000 and NT$400,000; violation of Paragraph 2 of such article shall be fined between NT$600,000 and NT$5,000,000. Where the offense is repeated the enterprise may be ordered to terminate business, suspend business for a certain period of time, revoke all or part of the items listed in the company registration, business registration or factory registration, or registration of the food businesses. If registration of the food businesses is revoked, re-application for new registration within one (1) year shall be prohibited.

Food businesses in violation of the preceding food advertisement provisions shall be consecutively fined by such authority for each violation until the publication or broadcast is ceased.

Severe violation of any of the advertisement provisions under Article 28 shall not only be punished by the preceding two provisions, the competent authority shall order to halt all sale, supply or display; and shall publish or broadcast a specific number of corrective advertising in the same size and time period as the original within thirty (30) days of receiving the sanction order, which shall express regret and convey the message for elimination of error.

Violation of the preceding provisions by continuing to sell, supply, display or failure to publish or broadcast corrective advertising shall be fined between NT$120,000 to NT$600,000.

  • Article 46

Media businesses in violation of Article 29 shall be fined between NT$60,000 to NT$300,000, and may be consecutively fined.

When the competent authority at the municipal level or county/city level impose fines in accordance with Paragraph 1 of the preceding article, the media businesses, and the relevant competent authority at the municipal or county/city level or industry competent authority shall be notified. The media businesses shall cease the broadcast or publication of the advertisement concerned from the day following its receipt of the above notification.

Media businesses continuing to publish or broadcast following the notification referred to in the preceding paragraph, in violation of Paragraphs 1 and 2 of Article 28 or any limit on advertisements or relevant regulations relating to the permanent suspension of advertisements prescribed by the central competent authority pursuant to Paragraph 3 of Article 28, shall be fined between NT$120,000 and NT$600,000 and shall be consecutively fined by such authority for each violation until the publication or broadcast is ceased.

When media businesses fail to cease publication or broadcasting following receipt of notification referred to in Paragraph 2, in addition to imposing fines in accordance with the preceding paragraph, the competent authority at the municipal level or county/city level shall also notify the competent authority of the media businesses at the municipal level or county/city level or its industry competent authority to address these issues.

  • Article 46-1

A person who disseminates a rumor or incorrect information concerning food safety and thus causes damage to the public or others shall be punished with imprisonment for not more than three years, detention, or a fine of not more than NT$1,000,000.

  • Article 47

Anyone committing any of the following shall be fined between NT$30,000 and NT$3,000,000. In severe circumstances, the enterprise may be ordered to terminate business, suspend business for a certain period of time, revoke all or part of the items listed in the company registration, business registration or factory registration, or registration of the food businesses. If registration of the food businesses is revoked, re-application for new registration shall not be permitted within one year:

1. violating the public announcement prescribed by the central competent authority pursuant to Article 4;

2. violating Paragraph 5 of Article 7;

3. in the event that the registered, established or declared information pursuant to Paragraph 3 of Article 8 and Paragraph 2 or 4 of Article 9 is false, or the incorrect electronic uniform invoices issued pursuant to Paragraph 2 of Article 9 to affect the examination of food tracing or tracking;

4. violating Paragraph 1 of Article 11 or Paragraph 1 of Article 12;

5. violating the provisions concerning product liability insurance prescribed by the central competent authority pursuant to Article 13;

6. violating the regulations concerning the safety and sanitation of public food and beverage sites prescribed by the municipal or county/city competent authority pursuant to Article 14;

7. violating the standards prescribed by the central competent authority pursuant to Paragraph 1 of Article 18-1, and failing to correct the violation within the time limit prescribed;

8. violating Paragraphs 1 and 2 of Article 21, Paragraph 1 or public announcement made pursuant to Paragraphs 2 and 3 of Article 22, Paragraph 1 or public announcement made pursuant to Paragraph 2 of Article 24, Article 26 or Article 27;

9. other than the provisions specified in Paragraph 9 of Article 48, violating the provisions concerning the specification, use and limitation of food additives prescribed by the central competent authority pursuant to the standard prescribed in Article 18;

10. violating the public announcement prescribed by the central competent authority pursuant to Paragraph 2 of Article 25;

11. evading, impeding or refusing an examination, testing, seizure or seal stipulated in this Act;

12. refusing to provide or providing false information for the information which are required to be submitted in accordance with the provisions specified in this Act;

13. failing to observe a suspension on operation or cease of sales in accordance with the provisions specified in this Act;

14. violating Paragraph 1 of Article 30 which fails to declare the information of imported goods or the information declared is false; or

15. violating Article 53.

  • Article 48

Anyone committing any of the following and failing to correct the violation within the time limit prescribed shall be fined between NT$30,000 and NT$3,000,000. In severe circumstances, the enterprise may be ordered to terminate business, suspend business for a certain period of time, revoke all or part of the items listed in the company registration, business registration or factory registration, or the registration of the food businesses. If registration of the food businesses is revoked, re-application for new registration shall not be permitted within one year:

1.violating Paragraph 1 of Article 7 for failing to enact food safety monitoring plan, or Paragraph 2 or Paragraph 3 for failing to be equipped with the laboratory;

2.violating Paragraph 3 of Article 8, failing to file registration; or violating Paragraph 5 of Article 8, failing to obtain certification;

3.violating Paragraph 1 of Article 9, failing to retain document or attain the required period of retention ;

4.violating Paragraph 2 of Article 9, failing to establish tracing or tracking system;

5.violating Paragraph 3 of Article 9, failing to issue electronic uniform invoices for the purpose of food tracing or tracking;

6.violating Paragraph 4 of Article 9, failing to declare in the electronic method or to declare according to the method and specification prescribed by the central competent authority;

7.violating Paragraph 3 of Article 10;

8.violating any of the standards prescribed by the central competent authority in accordance with Article 17 or Article 19;

9.the products sold by the food businesses violating the specification, use and limitation of food additives prescribed by the central competent authority pursuant to the standard prescribed in Article 18;

10.violating Paragraph 4 of Article 22 or Paragraph 3 of Article 24, failing to report to the competent authority; or

11.violating Paragraph 4 of Article 35, failing to attach product ingredients report and official sanitation certificate issued by the export country.

12.violating the restrictions prescribed by the central competent authority in a public announcement pursuant to Paragraph 2 of Article 15-1.

  • Article 48-1

Anyone committing any of the following shall be fined between NT$30,000 and NT$3,000,000 by the central competent authority. In severe circumstances, the enterprise may be ordered to suspend, terminate or revoke its commission or accreditation. Enterprise which commission has been terminated or accreditation has been revoked, shall not be re-commissioned and shall not re-apply for accreditation within one year:

1.enterprise which is commissioned in accordance with this Act for conducting the certification of sanitation and safety control of food businesses, violates provisions made pursuant to Paragraph 6 of Article 8;

2.institution, corporation or organization which is accredited in accordance with this Act for testing, violates provisions concerning accreditation made pursuant to Paragraph 3 of Article 37; or

3.enterprise which is commissioned in accordance with this Act for conducting the accreditation of institution, corporation or organization for testing, violates provisions concerning accreditation commission made pursuant to Paragraph 3 of Article 37.

 

If the representative of a legal entity, or the agent or employee of a legal entity or a natural person commits any of the offenses under Articles 21 to 22 in his/her occupational capacity, not only shall the culprit be penalized, but the particular legal entity or natural person shall be fined pursuant to the article(s) concerned.

  • Article 21

Whoever is guilty of manufacturing or importing health food without official approval or violating the first paragraph of Article 6 hereof shall be imprisoned for not more than three years and may additionally be fined not more than NT$1,000,000.

Whoever is guilty of knowingly offering for sale, supplying, transporting, storing, introducing, transferring, labeling, advertising, or displaying with the intent of offering for sale the above food shall be punished pursuant to the preceding paragraph.

  • Article 6, Paragraph 1

No food shall be labeled or advertised as health food unless it is registered as such in accordance with this Act.

  • Article 22

Whoever is guilty of violating Article 12 hereof shall be fined between NT$60,000 and NT$300,000.

Whoever is guilty of repeating the above act within one year shall be fined between NT$90,000 and NT$900,000; in addition, its business/factory license may be revoked.

Whoever is guilty of committing the act under the first paragraph of this Article to such extent detrimental to human health shall be imprisoned for not more than three years, detained and/or fined not more than NT$1 million; in addition, its business/factory license may be revoked.

  • Article 12

No health food or raw materials thereof shall be manufactured, prepared, processed, sold, stored, imported, exported, offered as gift, or publicly displayed if the health food or raw materials thereof:

1. deteriorate or become rotten;

2. are contaminated by pathogens;

3. contain any residual pesticide exceeding the permissible tolerance set by the central competent authority;

4. are contaminated by nuclear fallout or radioactivity exceeding the permissible tolerance set by the central competent authority;

5. are adulterated or counterfeited;

6. exceed the shelf life; or

7. contain other substances or foreign matters detrimental to human health.

 

If an individual commits any offense from Article 33 to Article 38 while performing job duty on behalf of another party – as the representative of a legal entity, or as the agent, employee or hired help of a legal entity or natural person – besides punishing the responsible individual for the specific offense, the (underlying) legal entity or natural person is also subject to the corresponding fine.

  • Article 33

The person making or importing counterfeit/banned veterinary drugs – except for the one described in Subparagraph 2 of Paragraph 1 of Article 5 – shall be subject to a prison term of one to seven years, and a fine of under NT$4.5 million.

The person causing human death due to the offense in Paragraph 1 of Article 33 shall be subject to life sentence or a prison term of over seven years; or a prison term of three to ten years if the offense leads to severe injury.

The person committing the offense in Paragraph 1 of Article 33 out of negligence is subject to a prison term of under three years, penal servitude or a fine of under NT$ 500,000.

The person/entity having attempted the act in Paragraph 1 of Article 33 is subject to penalty.

  • Article 5, Paragraph 1, Subparagraph 2

The term "banned veterinary drug" in this Act refers to the one in either of the following situations:

2. Imported without a permit. However, a drug can be exempt if it is other than a biologic described in Paragraph 1 of Article 3, brought in by a tourist or member of transport service staff for use in one's own pet, and compliant with guidelines about specific drug categories, dosage forms and quantities.

  • Article 3, Paragraph 1

The term "veterinary drug" refers to one of the following substance in the form of bulk chemical compound, formulated preparation, or over the counter drug:

1. Biologics specifically made for preventing and treating animal diseases based on microbiology, immunology or molecular biology.

  • Article 35

The person handling counterfeit or banned veterinary drugs – repacking, selling, transporting, holding for oneself or others, brokering, assigning to a third party, or displaying/caching with intent to sell – is subject a prison term of six months to five years, and may also be fined up to NT$5 million.

The person committing the offense in Paragraph 1 of Article 35 causing human death is subject to a prison term of over seven years; or a prison term of one to seven years if the offense leads to severe injury.

The person committing the offense in Paragraph 1 of Article 35 due to negligence is subject to a prison term of under two years, penal servitude or a fine of under NT$300,000.

The person/entity having attempted the act in Paragraph 1 of Article 35 is subject to penalty.

  • Article 36

The person manufacturing or importing substandard veterinary drugs is subject to a fine of NT$60,000 to NT$300,000.

The person handling substandard veterinary drugs – repacking, selling, transporting, holding for oneself or others, brokering, assigning to a third party, or displaying/caching with intent to sell – is subject to a fine of NT$30,000 to NT$150,000.

 

  1. Statute for Prevention and Control of Infectious Animal Disease
  • Article 41, Paragraph 3

For representatives of judicial persons, agents of judicial persons or ordinary persons, employed persons or other professionals, who enforce their duty and violated the above first Paragraph, penalties shall be issued on persons who actually violate the Paragraph as well as the judicial persons or ordinary persons involved. However, if the representatives of the judicial persons or the ordinary persons have tried to prevent the crime from happening, the judicial persons or ordinary persons shall not be dealt with penalties.

  • Article 41, Paragraph 1

Offenders in violation of Article 33, by bringing in restricted objects subjected to quarantine, shall be imprisoned for not more than 7 years, a fine of not more than NT$ 3,000,000 may also be imposed.

  • Article 33

To ensure the health of animals and humans, the central competent authority should establish the quarantine conditions for objects subjected to quarantine, and announce the contagious areas and non-contagious areas in the overseas. In addition, they shall be responsible for banning or managing the import/ export of objects needing quarantine.

  • Article 42, Paragraph 3

For representatives of judicial persons, agents of judicial persons or ordinary persons, employed persons or other professionals, who enforce their duty and violated the previous Paragraph, penalties shall be issued on persons who actually violate the Paragraph as well as the judicial persons or ordinary persons involved. However, if the representatives of the judicial persons or the ordinary persons have to fulfill obligation to prevent the crime from happening, the judicial persons or ordinary persons shall not be dealt with penalties.

  • Article 42, Paragraph 1 to 2

Violations of the following situations shall be fined between NT$50,000 and NT$200,000:

1.When animal owners or keepers violate Paragraph 1 of Article 19, shifting animals out of quarantine areas.

2.Violations of Paragraph 3 of Article 34-1, to set foot in or carry objects subjected to quarantine out of quarantine areas without permission.

The Violations described in Items I and Part II of Paragraph 1 of this Article and leading spreading or transmission of diseases shall be punished a maximum of three years imprisonment, detention, and may be fined a maximum of NT$1,000,000.

  • Article 19, Paragraph 1

The Owner or keeper of an animal having, or suspected of having, an infectious animal disease shall promptly isolate the animal or take necessary actions under the instruction of animal health inspection personnel who may-- in view of the spreading status of the infections animal disease -- ban animal movement into or out of the same farm or rearing area.

  • Article 34-1, Paragraph 3

Any individual with the exception of the import/export animal quarantine personnel, cannot enter animal quarantine offices without permission.

 

When, in the line of duty, there is a violation of Paragraph 38 or 39, all persons guilty of such misconduct shall be punished, regardless of their positions: persons in charge of a corporation, agents or employees of a corporation or a natural person, or any persons engaged in practice.
In addition to punishing the persons directly responsible, the specific legal or natural persons involved shall also be fined by the amount stipulated in the respective provisions.

  • Article 38

Those persons falling into one of the following situations shall be punished by imprisonment under three (3) years or detention, and/or a fine of up to three million New Taiwan Dollars (NT$3,000,000):

1. violation of the provision in Paragraph 2 of Article 7, namely, conducting practice without prior approval or without conforming to the approved radiation protection plan and causing serious environmental contamination;

2. violation of the provision in Paragraph 1 of Article 9, namely, discharging waste gas or waste water containing radioactive material without prior approval, and causing serious environmental contamination;

3. failure to abide by Paragraphs 2 of Article and 3 of Article 29, namely, conducting radiation work without prior permissions, permits or approval for registration, and causing serious environmental contamination;

4. failure to abide by Paragraph 1 of Article 30, namely, engaging in production or manufacturing without prior permits, and causing serious environmental contamination;

5. discarding radioactive material; or

6. being required to file reports by this Act but knowingly filing false reports, or causing false statements to appear on official documents.

The criteria for "serious environmental contamination" in Subparagraphs 1 through 4 of Paragraph 1 of Article 38 shall be specified by the Competent Authority in collaboration with relevant agencies.

  • Article 7, Paragraph 1 to 2

The facility operator shall, on the basis of the scale and nature of its practice, and in accordance with the provisions of the Competent Authority, establish an organization for radiation protection, or designate personnel to implement radiation protection for practice.

For the preceding practice of radiation protection, the facility operator shall draw up a radiation protection plan in advance, and submit it to the Competent Authority. The practice may only be implemented after approval by the Competent Authority. No practice shall be carried out without approval of the plan.

  • Article 9, Paragraph 1

The facility operator shall not discharge any waste gas or waste water containing radioactive material until after a radiation safety assessment is conducted and submitted to the Competent Authority and approval has been granted.

  • Article 29, Paragraph 1 to 3

Unless otherwise stipulated in this Act, radioactive material, equipment capable of producing ionizing radiation and practice shall require, as designated by the Competent Authority, a permission or registration.

Practice designated as requiring permission shall not proceed until applications have been filed with the Competent Authority, and permission has been granted or permits have been issued.

Radiation work designated as requiring registration shall not proceed until it is filed with and approval has been granted by the Competent Authority.

  • Article 30, Paragraph 1

One shall not produce radioactive material, construct its production facilities, or manufacture equipment capable of producing ionizing radiation until after the Competent Authority reviews the application and issues a permit.

  • Article 39

Those persons falling into one of the following situations shall be punished by imprisonment under one (1) year or detention, and/or a fine of up to one million New Taiwan Dollars (NT$1,000,000):

1. acting in defiance of orders to cease such practice issued by the Competent Authority according to the provisions in Paragraph 1 of Article 11 or Paragraph 2 of Article 13;

2. violation of the provision of Paragraph 1 of Article 21, namely, adding radioactive material in commercial products without prior approval by the Competent Authority, and acting in defiance of orders to cease such practice or to recall products;

3. violation of the provisions in Paragraph 2 of Article 22 or Paragraph 3 of Article 23, namely, failure to carry out specific disposal measures ordered by the Competent Authority; or

4. failure to abide by Paragraph 2 of Article 35, namely, failure to submit clean-up plans or complete the clean-up by a deadline, and acting in defiance of orders to do so before an extended deadline specified by the Competent Authority.

  • Article 11, Paragraph 1

The Competent Authority may inspect the practice and workplace of the facility at any time. If there is any violation of the provisions of this Act, the Competent Authority shall, in the case of non-compliance, order the facility operator to amend the situation within a limited period of time. When the facility operator fails to do so, the Competent Authority shall order a partial or complete termination of practice. In serious situations, the Competent Authority may revoke the permit of the facility operator.

  • Article 13, Paragraph 1 to 2

When any of the following accidents occurs, the facility operator shall take the necessary protective measures, and shall notify the Competent Authority without delay:

1. the dose received by a worker exceeds the limits of the Safety Standards for Protection against Ionizing Radiation;

2. the radiation level in areas outside radiation workplaces or the concentration of radioactive material contained in water, air or sewerage exceeds the limits of the Safety Standards for Protection against Ionizing Radiation;

3. radioactive material is missing or stolen;

4. other serious radiation accidents specified by the Competent Authority.

Upon being notified of an accident in Paragraph 1 of Article 13, the Competent Authority shall dispatch its officers for an inspection, and may order the facility operator to stop part or all of its practice connected with the accident.

  • Article 21, Paragraph 1

No radioactive material shall be added to commercial products unless approved by the Competent Authority.

  • Article 22

When a commercial product exposes the human body to radiation of such a dose level that raises concern about a public health risk, the Competent Authority shall conduct radiation inspection or measurement in collaboration with relevant agencies.

If the result from the inspection or measurement indicates a violation of standards or a public risk, the Competent Authority shall make public announcements of each product's name and related information, and require the manufacturer, distributor or owner to take specific measures.

The standards in Paragraph 2 of Article 22 are to be specified by the Competent Authority in consultation with relevant agencies.

  • Article 23, Paragraph 1 to 3

To avoid using construction material contaminated with radioactivity, the Competent Authority may, when necessary, require relevant suppliers to conduct radiation inspection and measurement of raw material and products, or issue "proof of absence of radioactive contamination". The governing regulations shall be laid down by the Competent Authority.

The radiation inspection and measurement of material and products as well as the issuance of "proof of absence of radioactive contamination" in Paragraph 1 of Article 23 shall be conducted in compliance with the Competent Authority's regulations, or commissioned to organizations, schools or groups accredited by the Competent Authority.

If the results from the preceding inspection or measurement of construction material indicate a violation of the standards in Paragraph 3 of Article 22, it shall be dealt with according to Paragraph 2 of Article 22.

  • Article 35, Paragraph 1 to 2

Regarding radioactive material, equipment capable of producing ionizing radiation, or their production/manufacturing facilities under permanent suspension, facility operators shall file with the Competent Authority all material or equipment in possession, and return the goods to the original manufacturer or seller, transfer them to another owner, dispose of them as radioactive waste, or employ any handling method specified by the Competent Authority. The time for such handling shall not exceed three (3) months. However, one may extend beyond the deadline pending the Competent Authority's approval.

Within six (6) months after permanent suspension of production/manufacturing facilities in Paragraph 1 of Article 35, or high intensity radiation facilities in Paragraph 4 of Article 29, facility operators shall submit to the Competent Authority a clean-up plan for facility decommissioning and complete the implementation of the plan upon approval within three (3) years after the onset of permanent suspension.

 

If the representative of a legal person, or the agent, employee or other staff of a legal person or natural person is guilty of committing the offense under the first paragraph of the preceding article in the course of rendering their services, the violator shall be penalized; in addition, the legal person or natural person shall be imposed with the fine under the said paragraph. If the representative of a legal person or a natural person can prove that best effort has been made to prevent the committing of the offense, neither the legal person nor the natural person shall be penalized.

  • Article 22, Paragraph 1

Any person who is guilty of importing or transhipping articles in violation of subparagraph 1 of the first paragraph of Article 14 or subparagraph 1 of the first paragraph of Article 15 shall be penalized by imprisonment not exceeding three years, detention and/or a fine not exceeding NT$150,000.

  • Article 14, Paragraph 1, Subparagraph 1

The central competent authority may publicly notify the quarantine requirements and take quarantine measures for the importation of regulated articles based on the pest status and the damage risk:

1. Prohibition;

  • Article 15, Paragraph 1

For the following articles, their importation is prohibited:

1. Pests;
2. Natural enemies, antagonists or competitors and other organisms used as biological control agent for controlling pest. However, those which are assessed and confirmed to be free of pest risk by the central competent authority, and microbial agents that are imported in compliance with the regulations of the Agro-pesticides Management Act are not restricted as such;

3. Soil;

4. Plants, plant products or other articles with soil; and

5. Packages or containers used by or harboring the articles mentioned in the previous four subparagraphs.

 

For those circumstances in which a representative of a juridical person, or an agent, employee or other working personnel of a juridical person or natural person, violates, due to the performance of business activities, Article 16 or Article 18, in addition to the perpetrator being punished pursuant to the regulations of each article violated, said juridical person or natural person shall also be fined pursuant to the regulations of each article violated.

  • Article 16

Those for whom one of the following circumstances applies shall be punished by a maximum of one year of imprisonment or detention, and may be fined a maximum of NT$60,000.

1. Those circumstances in which Article 5, Paragraph 1 is violated by failure to comply with the prohibition of the acts at issue after notification is given in accordance with Article 20.

2. Those circumstances in which Article 6, Paragraph 1 is violated by failure to comply with the prohibition of the acts at issue after notification is given in accordance with Article 21.

3. Those circumstances in which Article 11, Paragraph 1 is violated by failure to comply with the prohibition of the acts at issue after notification is given in accordance with Article 24.

Those that commit violations in the foregoing paragraph and thereby cause human death shall be punished by a maximum of seven years of imprisonment and may be fined a maximum of NT$300,000.Those that cause severe injury shall be punished by a maximum of five years of imprisonment and may be fined a maximum of NT$150,000.

  • Article 5, Paragraph 1

Acts that pollute water source quality are prohibited in areas within a certain distance of a drinking water source quality protection area or drinking water intake point.

  • Article 6, Paragraph 1

Only those water bodies designated in each subparagraph of Article 3, Paragraph 2 that meet water quality standards for drinking water sources may serve as drinking water sources. However, drinking water source or water treatment and improvement plans submitted to the central competent authority in application for approval shall not be subject to this restriction. The central competent authority shall determine regulations governing application qualifications for proposing improvement plans, content of the plans, documentation that shall be attached, procedures, monitoring, response measures, approval conditions, rejection, corrections, and other binding matters.

  • Article 11, Paragraph 1

The quality of drinking water shall meet drinking water quality standards.

  • Article 20

Those that violate Article 5, Paragraph 1 shall be fined NT$100,000 to NT$1 million and shall be notified of the prohibition of the acts at issue.

  • Article 21

Those that violate Article 6, Paragraph 1 shall be fined NT$60,000 to NT$600,000 and shall be notified of the prohibition of use of the water body as a drinking water source.

  • Article 24

Those public or private premises providing drinking water for public drinking that violate Article 11, Paragraph 1 shall be fined NT$600,000 and shall be notified to make improvements within a limited period; those that have still failed to complete improvements by the deadline shall be issued consecutive daily fines; in those severe circumstances, the public or private premises shall be prohibited from providing drinking water.

  • Article 18

Those that violate Article 13 shall be punished by a maximum of one year of imprisonment and detention, and/or may be fined a maximum of NT$60,000.

  • Article 13

Those chemical agents used for drinking water quality treatment shall be limited to those officially announced by the central competent authority. Water supply units may apply to the central competent authority to officially announce an unlisted agent as chemical agent used for drinking water treatment. The central competent authority shall determine regulations governing application qualifications, documentation that shall be attached, procedures, approval conditions, rejection, corrections, and other binding matters.

 

Whoever is the representative of a juristic person or an agent, employee or otherwise of a juristic person or natural person shall be punished as the wrongdoer if he or she violates Article 45 to the preceding Article in the course of performing his or her duties. In addition, said juristic or natural person shall be punished with the fine provided in said Articles.

  • Article 45

Whoever is guilty of manufacturing, processing, repackaging or importing prohibited agro-pesticides shall be punished by way of imprisonment for no less than one year and no more than seven years, and a fine of no less than NT$1,500,000 and no more than NT$7,500,000 shall be imposed.

Whoever is guilty of attempting to commit the offense under the preceding paragraph shall be punished.

  • Article 46

Whoever is guilty of dealing or displaying, storing prohibited agro-pesticides within the intention of dealing shall be punished by way of imprisonment for no less than six months and no more than five years, and a fine of no less than NT$1,000,000 and no more than NT$5,000,000 shall be imposed.

Whoever is guilty of committing the offense under the preceding paragraph due to negligence shall be punished by way of imprisonment of no more than one year or short-term imprisonment, and a fine of no more than NT$ 500,000.

  • Article 47

Whoever is guilty of manufacturing, processing, repackaging or importing counterfeit agro-pesticides under Subaragraph 1 of Article 7 shall be punished by way of imprisonment for not less than six months and not more than five years, and a fine of not less than NT$1,000,000 and not more than NT$5,000,000 shall be imposed.

Whoever is guilty of attempting to commit the offense under the preceding paragraph shall be punished.

  • Article 48

Whoever commits any of the following shall be punished by way of imprisonment for not more than three years and a fine of not more than NT$ 500,000 shall be imposed:

1. Displays or stores for selling or attempted selling what he knows are counterfeit agro-pesticides under Subaragraph 1 of Article 7;

2. Sells the agro-pesticides dedicated for processing and exporting under Subparagraphs 2 and 3, Paragraph 1 of Article 24 or the agro-pesticides dedicated for exporting under Subparagraph 3 in Taiwan or uses them for other purposes.

Whoever is guilty of committing the offense under the preceding paragraph due to negligence shall be punished by way of custody and a fine of not more than NT$ 250,000 shall be imposed.

  • Article 7, Paragraph 1, Subparagraph 1

For the purposes of this Act, the term "counterfeit agro-pesticides" denotes any of the following agro-pesticides:

1. Agro-pesticides manufactured, processed, imported without prior approval or counterfeit domestic or foreign products;

  • Article 9

Agro-pesticides shall not be manufactured, processed, or imported without having passed the examination of, approval for registration with, and obtained a permit from the central competent authority, unless otherwise prescribed in this Act or in case that the agro-pesticides are promulgated by the central competent authority as non-controlled agro-pesticides.

  • Article 24, Paragraph 1

With the approval of the central competent authority, the following agro-pesticides may be exempted from the restrictions prescribed in Article 9:

1. Those dedicated for experimental research, educational demonstration or emergency prevention.

2. Those imported for manufacturing, processing, repackaging and other related procedures dedicated for exporting.

3. Those manufactured or processed exclusively for exporting.

 

If a representative of a juristic person, agent of a juristic person or natural person, employee, or other working personnel commits a violation of Article 42 or the foregoing article in the course of work, in addition to punishing the perpetrator pursuant to each relevant regulation, the juristic person or natural person shall be punished with the fines designated in each relevant article.

  • Article 42

Those that manufacture, process, or import counterfeit or prohibited environmental agents thereby causing human death shall be punished by a maximum of 10 years imprisonment and may be fined a maximum of NT$3 million; those that cause severe injury shall be punished by a maximum of five years imprisonment and may be fined a maximum of NT$2 million; those that cause harm to human health such that it leads to illness shall be punished by a maximum of three years imprisonment and may be fined a maximum of NT$1 million.

  • Article 43

Those that knowingly sell, transfer, display with the intent of selling, store, mix, or package counterfeit or prohibited environmental agents thereby causing human death shall be punished by a maximum of seven years imprisonment and may be fined a maximum of NT$3 million; those that cause severe injury shall be punished by a maximum of three years imprisonment and may be fined a maximum of NT$2 million; those that cause harm to human health such that it leads to illness shall be punished by a maximum of one years imprisonment and may be fined a maximum of NT$1 million.

 

Where the representative of a legal entity, or an agent, employee or any other operation personnel of a legal entity or a natural person commits, while performing his duty, any of the offence set forth respectively in Articles 82 through 86 hereof, in addition to the offender who shall be punished under the provisions of the respective Articles, the said legal entity or natural person shall also be imposed with not more than 10 times of the fine as set forth in the respective Articles as applicable.

  • Article 82

Any person who manufactures or imports counterfeit drugs or prohibited drugs shall be subject to punishment with imprisonment for a period of not more than ten (10) years and may in addition thereto, be imposed with a fine of not more than NT$100,000,000. The offender set forth in the preceding Paragraph shall be punished with life imprisonment or imprisonment of not less than ten (10) years and may in addition thereto, be imposed with a fine of not more than NT$200,000,000 in case the said offence results in personal death; or with imprisonment of not less than seven (7) years and may in addition thereto, be imposed with a fine of not more than NT$150,000,000 in case the offence results in serious adverse health consequences.

Any person who commits the offence set forth in the first Paragraph hereof by negligence shall be punished with imprisonment of not more than three (3) years, detention, or a fine of not more than NT$10,000,000.

An attempt of the offence set forth in the first Paragraph hereof shall be punished.

  • Article 83

Any person who knowingly sells, supplies, dispenses, transports, stores, brokers, transfers or displays with intent to sell counterfeit drugs or prohibited drugs shall be punished with imprisonment of not more than seven (7) years and may, in addition thereto, be imposed with a fine of not more than NT$50,000,000.

The offender set forth in the preceding Paragraph shall be punished with imprisonment of not less than seven (7) years and may in addition thereto, be imposed with a fine of not more than NT$100,000,000 in case the said offence results in personal death; or with imprisonment of not less than three (3) years but not more than twelve (12) years and may in addition thereto, be imposed with a fine of not more than NT$75,000,000 if the said offence results in serious adverse health consequences.

Any person who commits the offence set forth in the first Paragraph hereof by negligence shall be punished with imprisonment of not more than two (2) years, detention, or a fine of not more than NT$5,000,000.

An attempt of the offence set forth in the first Paragraph hereof shall be punished.

  • Article 84

Any person who manufactures or imports medical devices without obtaining prior approval shall be punished with imprisonment of not more than three (3) years and may, in addition thereto, be imposed with a fine of not more than NT$10,000,000.

Any person who knowingly sells, supplies, transports, stores, brokers, transfers or displays with intent to sell the medical implements set forth in the preceding Paragraph shall be subject to the punishment set forth in the preceding Paragraph.

Any person who commits the offence set forth in the preceding Paragraph by negligence shall be punished with imprisonment of not more than six (6) months, detention or a fine of not more than NT$5,000,000.

  • Article 85

Any person who manufactures or imports the misbranded drugs set forth in Subparagraph 1 of Article 21 hereof or the defective medical devices set forth in Subparagraph 1 or Subparagraph 2 of Article 23 hereof shall be punished with imprisonment of not more than five (5) years, or detention, and may, in addition thereto, be imposed a fine of not more than NT$50,000,000.

Any person who commits the aforementioned offence by negligence or knowingly sells, supplies, dispenses, transports, stores, brokers, transfers or display with intent to sell the misbranded drugs or defective medical devices set forth in the preceding Paragraph shall be punished with imprisonment of not more than three (3) years or detention and may, in addition thereto, be imposed a fine of not more than NT$10,000,000.

Any person who, by negligence, sells, supplies, dispenses, transports, stores, brokers, transfers or displays with intent to sell the misbranded drugs or the defective medical devices set forth in the first Paragraph hereof shall be punished with detention or a fine of not more than NT$1,000,000.

  • Article 21, Paragraph 1, Subparagraph 1

The term "misbranded drugs" as used in this Act shall refer to the approved drugs which are found to fall within any of the following circumstances after or inspection or testing:

1. The drugs which contain non-statutory coloring agents, preservatives, aromatics, flavoring agents and excipients without;

  • Article 23, Paragraph 1, Subparagraph 1 to 2

The term "defective medical devices" as used in this Act shall refer to the medical devices which fall within any of the following circumstances after inspection or testing:

1. Which, when used, is liable to cause danger to life or body injury, or to mislead diagnosis;

2. Which contains toxic or hazardous substances and so be, when used, detrimental to the health of human beings;

  • Article 86

Any person who makes use, without authorization or as an infringement, of the name, use instructions or labels of the medicaments of others shall be punished with imprisonment of not more than five (5) years, detention, in addition thereto, a fine of not more than NT$20,000,000.

Any person who knowingly imports, sells, supplies, dispenser, transports, stores, brokers, transfers or displays with intent to sell the medicaments set forth in the preceding Paragraph shall be punished with imprisonment of not more than two (2) years, detention or, in addition thereto, a fine of not more than NT$10,000,000.

 

 

  • Article 36

Where an artificial person's responsible person, agent or employee or operator of an artificial person or a natural person, commits in conducting business an offense described in the first paragraph of the preceding article, not only shall the committer be punished, but such artificial person or natural person shall also be subject to the fine set forth in the first paragraph of the preceding article.

Where a complaint is initiated or withdrawn against the committer in the preceding paragraph, the legal effect shall extend to the artificial person or natural person. Where a complaint is initiated or withdrawn against an artificial person or natural person in the preceding paragraph, the legal effect shall extend to the committer.

  • Article 35

One who violates a confidentiality preservation order under this Act shall be subject to a sentence of imprisonment not more than three years, detention, or in lieu thereof or in addition thereto, a fine of not more than NT$100,000.

Prosecution for an offense described in the preceding paragraph may be instituted only upon complaint.

 

Where the representative of a juristic person, or the agent, employee, or other servant of a juristic or natural person commits any of the offenses specified in Articles 91 through Article 93, Article 95 through 96b is in the performance of its duties, in addition to punishing the infringer in accordance with the aforesaid articles, such juristic or natural person shall also be fined in accordance with said articles.

  • Article 91

A person who infringes on the economic rights of another person by means of reproducing the work without authorization shall be punished by imprisonment for not more than three years, detention, or in lieu thereof or in addition thereto a fine not more than seven hundred and fifty thousand New Taiwan Dollars.

A person who infringes on the economic rights of another person by means of reproducing the work without authorization with the intent to sell or rent shall be imprisoned not less than six months and not more than five years, and in addition thereto, may be fined not less than two hundred thousand and not more than two million New Taiwan Dollars.

A person who commits the offense in the preceding paragraph by means of reproducing onto an optical disk shall be imprisoned not less than six months and not more than five years, and in addition thereto, may be fined not less than five hundred thousand and not more than five million New Taiwan Dollars.

A work only for personal reference or fair use of a work does not constitute infringement of copyright.

  • Article 91-1

A person who infringes on the economic rights of another person by distributing the original of a work or a copy thereof by transfer of ownership without authorization shall be punished by imprisonment for not more than three years, detention, or in lieu thereof or in addition thereto, a fine not more than five hundred thousand New Taiwan Dollars.

A person who distributes or with intent to distribute publicly displays or possesses a copy knowing that it infringes on economic rights shall be imprisoned not more than three years and, in addition thereto, may be fined not less than seventy thousand and not more than seven hundred and fifty thousand New Taiwan Dollars.

A person who commits the offense in the preceding paragraph and the infringing copy is optical disk shall be imprisoned not less than six months and not more than three years and, in addition thereto, may be fined not less than two hundred thousand and not more than two million New Taiwan Dollars; provided, this shall not apply to optical disks imported in violation of subparagraph 4 of Article 87.

Punishment of an offense in the preceding two paragraphs may be reduced if the offender confesses the source of the goods, resulting in the uncovering thereof.

  • Article 92

A person who infringes on the economic rights of another person without authorization by means of public recitation, public broadcast, public presentation, public performance, public transmission, public display, adaptation, compilation, or leasing, shall be punished by imprisonment for not more than three years, detention, or in lieu thereof or in addition thereto a fine not more than seven hundred and fifty thousand New Taiwan Dollars.

  • Article 93

In any of the following circumstances, a sentence of up to two years imprisonment or detention shall be imposed, or in lieu thereof or in addition thereto, a fine of not more than five hundred thousand New Taiwan Dollars:

1. Infringement of the author's moral rights as set forth in the provisions of articles 15 through 17.

2. Violations of the provisions of Article 70.

3. Infringement of another person's copyright by any of the means specified in paragraph 1, subparagraphs 1, 3, 5, or 6 of Article 87, provided this shall not apply to offenses as referred to in paragraph 2 or paragraph 3 of Article 91 bis.

4. Violations of subparagraphs 7 or 8 of paragraph 1 of Article 87.

  • Article 15

The author of a work shall enjoy the right to publicly release the work; provided, this shall not apply to a civil servant where, pursuant to the provisions of Article 11 or 12, such person is the author while the juristic person employing such author enjoys the economic rights to the work.

In the following circumstances the author shall be presumed to have consented to the public release of the work:

1. Where, prior to publicly releasing its work, the author has transferred, or licensed to exploit, the economic rights to the work, and the work is publicly released as a consequence of the exercise or exploitation of the economic rights.

2. Where, prior to the public release of a artistic work or a photographic work, the author transfers the original or a copy of such work to another party and the transferee publicly displays the original or copy of the work.

3. Where the work is a Masters thesis or doctoral dissertation written under the "Degree Conferral Act" and the author has obtained a degree.

Where, in accordance with the provisions of paragraph 2 of Article 11 or paragraph 2 of Article 12, an employer or a commissioning party, ab initio, obtained economic rights to a work that has never been publicly released, and where such work is publicly released in conjunction with the transfer, exercise, or exploitation of the economic rights of such work, the author shall be deemed to have consented to the public release of the work.

The provisions of the preceding paragraph shall apply mutatis mutandis to paragraph 3 of Article 12.

  • Article 11

Where a work is completed by an employee within the scope of employment, such employee is the author of the work; provided, where an agreement stipulates that the employer is the author, such agreement shall govern.

Where the employee is the author of a work pursuant to the provisions of the preceding paragraph, the economic rights to such work shall be enjoyed by the employer; provided, where an agreement stipulates that the economic rights shall be enjoyed by the employee, such agreement shall govern.

The term "employee" in the preceding two paragraphs includes civil servants.

  • Article 12

Where a work is completed by a person under commission, except in the circumstances set out in the preceding article, such commissioned person is the author of the work; provided, where an agreement stipulates that the commissioning party is the author, such agreement shall govern.

Where the commissioned person is the author pursuant to the provisions of the preceding paragraph, enjoyment of the economic rights to such work shall be assigned through contractual stipulation to either the commissioning party or the commissioned person. Where no stipulation regarding the enjoyment of economic rights has been made, the economic rights shall be enjoyed by the commissioned person.

Where the economic rights are enjoyed by the commissioned person pursuant to the provisions of the preceding paragraph, the commissioning party may exploit the work.

  • Article 16

The author of a work shall have the right to indicate its name, a pseudonym, or no name on the original or copies of the work, or when the work is publicly released. The author has the same right to a derivative work based on its work.

The proviso in the first paragraph of the preceding article shall apply mutatis mutandis to the preceding paragraph.

The person exploiting a work may use its own cover design and may add the name or appellation of the designer or editor-in-chief; provided this shall not apply where the author has specifically indicated to the contrary, or where the addition would deviate from commonly accepted practices.

Where the purpose and method of exploitation neither present any likelihood of harm to the author's interests nor deviate from commonly accepted practices, the author's name or appellation may be omitted.

  • Article 17

The author has the right to prohibit others from distorting, mutilating, modifying, or otherwise changing the content, form, or name of the work, thereby damaging the author's reputation.

  • Article 70

Copies of sound recordings which exploit musical works pursuant to the provisions of the preceding article shall not be sold outside of the territory under the jurisdiction of the Republic of China.

  • Article 87, Paragraph 1

Any of the following circumstances, except as otherwise provided under this Act, shall be deemed an infringement of copyright or plate rights:

1. To exploit a work by means of infringing on the reputation of the author.

2. Distribution of articles that are known to infringe on plate rights, or public display or possession of such articles with the intent to distribute.

3. Import of any copies reproduced without the authorization of the economic rights holder or the plate rights holder.

4. Import of the original or any copies of a work legally reproduced abroad without the authorization of the economic rights holder.

5. Exploitation for business purposes of a copy of a computer program that infringes on economic rights in such computer program.

6. Distribution, by any means other than transfer of ownership or rental, articles that are known to infringe on economic rights; or public display or possession, with the intent to distribute, of articles that are known to infringe on economic rights.

7. To provide to the public computer programs or other technology that can be used to publicly transmit or reproduce works, with the intent to allow the public to infringe economic rights by means of public transmission or reproduction by means of the Internet of the works of another, without the consent of or a license from the economic rights holder, and to receive benefit therefrom.

8.Knowing that the works broadcast or transmitted publicly by another person infringe economic rights, with the intent to provide the public to access such works by the Internet, acting as follows, and to receive benefit therefrom:

(1) To provide the public with computer programs which have aggregated the Internet Protocol Addresses of such works.

(2) To direct, assist or preset paths to the public for using computer programs in the preceding item.

(3) To manufacture, import or sell equipment or devices preloaded with the computer programs of the first item.

  • Article 95

A person who violates any provision of Article 112 shall be punished by imprisonment for not more than one year, detention, or, in lieu thereof or in addition thereto, a fine of not less than twenty thousand and not more than two hundred and fifty thousand New Taiwan Dollars.

  • Article 112

Where the works of foreign nationals enjoyed protection of translation rights pursuant to this Act prior to the implementation date of the June 10, 1992 amendment hereto, translations of such works made prior to said implementation date shall no longer be reproduced after said implementation date without the consent of the holder of the copyright to such works, unless such exploitation is in conformity with Articles 44 through Article 65 of this Act.

Copies of translations of works referred to in the preceding paragraph shall no longer be sold after the expiration of the two-year period following the implementation date of the June 10, 1992 amendment to this Act.

  • Article 96

A fine of up to fifty thousand New Taiwan Dollars shall be imposed for violations of the provisions of the second paragraph of Article 59 or the provisions of Article 64.

  • Article 59

The owner of a legal copy of a computer program may alter the program where necessary for utilization on a machine used by such owner, or may reproduce the program as necessary for backup; provided, this is limited to the owner's personal use.

If the owner referred to in the preceding paragraph loses ownership of the original copy for any reason other than the destruction or loss of the copy, all altered and backup copies shall be destroyed unless the economic rights holder grants its consent otherwise.

  • Article 64

A person who exploits the work of another person pursuant to the provisions of Articles 44 through 47, Articles 48 through 50, Article 52, Article 53, Article 55, Article 57, Article 58, and Articles 60 through 63 shall provide a clear indication of the source of the work.

The "clear indication of the source" referred to in the preceding paragraph shall indicate the name or appellation of the author in a reasonable manner, except where the work is anonymous or the author is not known.

  • Article 96-1

In any of the following circumstances a sentence of up to one year imprisonment or detention shall be imposed, or in lieu thereof or in addition thereto, a fine of not less than twenty thousand and not more than two hundred and fifty thousand New Taiwan Dollars:

1. Violation of Article 80.

2. Violation of paragraph 2 of Article 80.

  • Article 80-1

Electronic rights management information made by a copyright owner shall not be removed or altered; provided, this shall not apply in any of the following circumstances:

1. Where removal or alteration of electronic rights management information of the work is unavoidable in the lawful exploitation of the work given technological limitations at the time of the act.

2. Where the removal or alteration is technically necessary to conversion of a recording or transmission system.

Whoever knows that electronic rights management information of a work has been unlawfully removed or altered shall not distribute or, with intent to distribute, import or possess the original or any copy of such work. He/She also shall not publicly broadcast, publicly perform, nor publicly transmit [the same].

  • Article 80-2, Paragraph 2

Any equipment, device, component, technology or information for disarming, destroying, or circumventing technological protection measures shall not, without legal authorization, be manufactured, imported, offered to the public for use, or offered in services to the public.

 

Where the representative of a juristic person, the agent, employee or any other staff of a juristic person or natural person commits any of the crimes prescribed in Article 13-1 or 13-2 in the course of business, not only the actor, but the juristic person or the natural person shall be punished with the fine prescribed in the Article. However, if the representative of a juristic person or natural person has done his/her utmost to prevent a crime from being committed, the juristic person or natural person shall not be punished.

  • Article 13-1

Any person committing an act falling under any of the following circumstances for the purpose of an illicit gain for himself/herself or for a third person, or inflicting a loss on the holder of a trade secret shall be sentenced to a maximum of 5 years imprisonment or short-term imprisonment, in addition thereto, a fine between NT$1 million and NT$10 million may be imposed:

1. Acquiring a trade secret by an act of theft, embezzlement, fraud, threat, unauthorized reproduction, or other wrongful means, or using or disclosing a trade secret so acquired.

2. Committing an unauthorized reproduction, usage, or disclosure of a trade secret known or possessed.

3. Failing to delete or destroy a possessed trade secret as the trade secret holder orders, or disguising it.

4. Any person knowingly acquires, uses or discloses a trade secret known or possessed by others is under circumstances prescribed in the preceding 3 subparagraphs.

An attempt to commit a crime specified in the preceding paragraph is punishable.

In case a fine is to be imposed, if the gain obtained by the offender exceeds the maximum fine, such fine may be increased within the extent of 3 times of the gain.

  • Article 13-2

Any person committing a crime prescribed in the first paragraph of the preceding article for the purpose of using the trade secretin foreign jurisdictions, mainland China, Hong Kong, or Macau shall be sentenced to imprisonment between 1 year and 10 years, in addition thereto, a fine between NT$3 million and NT$50 million may be imposed.

An attempt to commit a crime specified in the preceding paragraph is punishable.

In case a fine is to be imposed, if the gain obtained by the offender exceeds the maximum fine, such fine may be increased within the extent of 2 to 10 times of the gain.

 

In the situation referred to in the preceding paragraph, apart from those responsible persons who shall be punishable, the juristic persons, organizations, or any other institutions shall also be punished with a fine prescribed in the preceding paragraph.

  • Article 79-1, Paragraph 1

Any person who is entrusted to assist the handling of matters relating to any dealing between the peoples of the Taiwan Area and the Mainland Area or to negotiate or execute agreements and acts beyond the entrusted scope to cause damage to the national security or interests shall be punished with imprisonment of not more than five years, or detention, or in lieu thereof or in addition thereto, a fine of not less than five hundred thousand New Taiwan Dollars.

  • Article 79-3, Paragraph 3

In any of the situations referred to in the preceding paragraph, if the actor is a juristic person, organization, or any other institution, the responsible person shall be punished; the referred juristic person, organization, or any other institution shall be in addition punished with a fine prescribed in the preceding paragraph.

  • Article 79-3, Paragraph 2

Any person who violates the provisions of Article 5-1 shall be punished with an administrative fine of not less than two hundred thousand but not more than two million New Taiwan Dollars; where the matter of violation is serious or the person commits the same or similar violation again, it shall be punished with imprisonment of not more than five years, or detention, or in lieu thereof or in addition thereto, a fine of not less than five hundred thousand New Taiwan Dollars.

  • Article 5-1

Any authorities or institution at each local government level of the Taiwan Area shall not negotiate or execute any agreement in any form with any individual, juristic person, organization, or other authorities or institution of the Mainland Area unless authorized by the Mainland Affairs Council, Executive Yuan. The same applies mutatis mutandis to the civil servants, elected public offices at all levels, or local representative organs at all levels.

Any individual, juristic person, organization, or other institution shall not execute any agreement involving the governmental powers of the Taiwan Area or political issues with any individual, juristic person, organization, or other authorities or institution of the Mainland Area unless authorized by the Mainland Affairs Council, Executive Yuan or each competent authorities concerned in accordance with the provisions of this Act.

  • Article 80, Paragraph 2

If the owner or operator of the vessel, aircraft or other means of transportation of the Republic of China referred to in the preceding paragraph is a juristic person, apart from the actor who shall be punishable, the referred juristic person shall be punished with a fine prescribed in the preceding paragraph except that the representative of the juristic person has done its best in preventing the occurrence of the violation.

  • Article 80, Paragraph 1

Any owner, operator, or master or captain of any vessel, aircraft or other means of transportation of the Republic of China, or any steersman of any other means of transportation of the Republic of China who violates the provisions of Article 28 or Paragraph 1 of Article 28-1, and any of the people of the Taiwan Area who violates the provisions of Paragraph 2 of Article 28-1 shall be punished with imprisonment of not more than three years, or detention, or in lieu thereof or in addition thereto, a fine of not less than one million but not more than fifteen million New Taiwan Dollars; provided, however, that if the referred offense is committed by the master, captain, or the steersman of the vessel, aircraft or other means of transportation of the Republic of China out of its own decision, it is the master, captain, or steersman who shall be punishable.

  • Article 28

Any vessels, aircraft or other means of transportation of the Republic of China may sail or fly to the Mainland Area with the permission of the competent authorities. Rules governing the referred permission and administration shall be drafted by the Ministry of Transportation and Communications in conjunction with the authorities concerned and submitted to the Executive Yuan for approval within eighteen months after the adoption of the amendment to this Act; and the referred period may be extended if necessary after reporting to the Legislative Yuan for record.

  • Article 28-1, Paragraph 1

No vessels, aircraft or other means of transportation of the Republic of China may transport any of the people of the Mainland Area to the Taiwan Area or any other country or area outside the Mainland Area.

  • Article 83, Paragraph 3

If the representative of a juristic person, or the agent or employee or other worker of a juridical or natural person commits any of the offenses referred to in the preceding two paragraphs in execution of its professional duties, apart from the actor who shall be punishable, the referred juridical or natural person shall also be punished with a fine prescribed in the preceding two paragraphs except that the representative of the juristic person or the natural person has done its best in preventing the occurrence of the violation.

  • Article 83, Paragraph 1

Any person who violates the provisions of Sub-paragraph 4 or 5 of Article 15 shall be punished with imprisonment of not more than two years, detention, or in lieu thereof or in addition thereto, a fine of not more than three hundred thousand New Taiwan Dollars.

  • Article 15, Subparagraph 4 and 5

No one may commit any of the following acts:

4. To employ or to continue to employ any of the people of the Mainland Area to work without permission or beyond the scope of the permission.

5. To act as a middleman in introducing others to commit any act referred to in the preceding sub-paragraph.

  • Article 83, Paragraph 2

Any person who, with an intent to make a profit, violates the provisions of Sub-paragraph 5 of Article 15 shall be punished with imprisonment of not more than three years, detention, or in lieu thereof or in addition thereto, a fine of not more than six hundred thousand New Taiwan Dollars.

  • Article 84, Paragraph 2

If the representative of a juristic person, or the agent or employee or other worker of a juridical or natural person commits the offenses referred to in the preceding paragraph in execution of its professional duties, apart from the actor who shall be punishable, the referred juridical or natural person shall also be punished with a fine prescribed in the preceding paragraph except that the representative of the juristic person or the natural person has done its best in preventing the occurrence of the violation.

  • Article 84, Paragraph 1

Any person who violates the provisions of Sub-paragraph 2 of Article 15 shall be punished with imprisonment of not more than six months, detention, or in lieu thereof or in addition thereto, a fine of not more than one hundred thousand New Taiwan Dollars.

  • Article 15, Subparagraph 2

No one may commit any of the following acts:

2. To solicit any of the people of the Taiwan Area to enter into the Mainland Area with the knowledge that the solicited has no permission.

 

Persons violating Article 103 of this Act in their capacity as the representatives of legal entities, or the agents, employees or other staff members of legal entities or individual shall be subject to the penalty under Article 103. In addition, such legal entities and the individual shall be subject to the fine under the same article.

  • Article 103

Anyone who commits any of the following offences shall be punished with imprisonment from six months up to five years, and a fine of NT$500,000 to NT$20,000,000 could be imposed:

1. Removing or demolishing a monument in violation of Article 36.

2. Destroying or damaging a monument, an interim historic monument, or its ancillary facilities in whole or in part.

3. Destroying or damaging an archaeological site or its relics or ruins in whole or in part.

4. Destroying, damaging or stealing national treasures, significant antiquities or general antiquities.

5. Shipping national treasures or significant antiquities out of the country in violation of Article 73, or failing to ship back the national treasures or significant antiquities within the time limits after they have been shipped overseas with approval.

6. Picking, plucking, chopping, felling, excavating, or destroying by any other means natural monuments or the surrounding ecological environments in violation of Article 85.

7. Altering or destroying the natural status of a natural reserve in violation of paragraph 1 of Article 86.

Attempts to commit any of the offences under the preceding paragraph shall be subject to penalty.

  • Article 36

No monument may be relocated or demolished, unless such relocation or demolishment is made for national security, significant public safety, or major national construction projects, and a protection plan for the monument proposed by the central competent authority in charge of the relevant affairs has passed the review of, and been approved by, the review committee convened by the central competent authority.

  • Article 73

National treasures or significant antiquities within the territory of the Republic of China may not be shipped to any foreign country. The aforesaid prohibition shall be waived in the event that overseas shipment is necessary for wars, necessary restoration, international cultural exchanges or exhibitions, or other special reasons, and applications by the central competent authority for such shipment have been approved by the Executive Yuan.

The regulations for the application procedures under the preceding paragraph and approving such applications, and the rules governing procuring insurance for, moving, safeguarding, deadlines for shipping overseas or shipping back national treasures or significant antiquities, and other compliance requirements shall be stipulated by the central competent authority.

  • Article 85

Natural monuments shall not be destroyed by picking, plucking, chopping, felling, excavating or any other means, and their ecological environments shall be conserved. Nevertheless, this Article shall not apply if any of the foregoing acts is necessary for indigenous peoples' traditional ceremonies or religious rites, or for research, display, or international exchange by research institutions after approval has been obtained from the competent authority.

  • Article 86, Paragraph 1

Any alteration of or damage to the natural status of a natural reserve is prohibited.

 

The representative of a juridical person, the agent, employee, or other staff of a juridical person or an individual, violates the first or second paragraph of the preceding Article within the capacity of his/her duty shall be punished under the preceding Article. In addition, the juridical person or the individual shall also be subject to the fine prescribed therein.

  • Article 37, Paragraph 1 to 2

Any person who commits any of the following offenses shall be liable to imprisonment for up to five years, detention, and/or a fine of NT$200,000 to NT$10,000,000:

1. theft of underwater cultural heritage with an intention to possess for his own or for a third person.

2. damage of underwater cultural heritage within the underwater cultural heritage protection zone or temporary protection zone.

3. conveyance of underwater cultural heritage which belongs to the Republic of China out of the country in violation of paragraph 1, Article 20.

4. undertaking underwater cultural heritage activities without prior approval of the competent authority in violation of paragraph 1, Article 22.

5. excavating underwater cultural heritage out of the water in violation of the regulations provided in paragraph 4, Article 22.

Any attempted offences prescribed in the preceding paragraph, shall be liable to the same penalty.

  • Article 20, Paragraph 1

Any underwater cultural heritage that has been recovered in a manner not in conformity with this Act shall not be shipped out of the territory of Republic of China, nor transported, possessed, displayed, or sold in the territory of the Republic of China.

  • Article 22, Paragraph 1

Activities directed at underwater cultural heritage shall not be undertaken unless an application with an underwater cultural heritage activity plan is filed by a scholar, experts, or academic/professional scientific research institutions to the competent authority and approved thereby.

  • Article 22, Paragraph 4

The competent authority shall stipulate regulations related to the qualification limitation, application for activity approval, conditions, methods, scope, period, content of the plan and other matters which should be complied with during the operation of the activities referred to in the first paragraph.

 

In the event the representative of a legal entity, the agent of a legal entity or a natural person, an employee or any other staff member violates this Act in the rendering of his/her respective services, the violator shall be punished with a fine; in addition, the legal entity itself or the natural person shall also be subject to punishment by such fine as prescribed in the respective articles of this Act.

  • Article 32

Any person who violates Paragraph 2 of Article 12 by changing resource conditions in first-grade coastal conservation zones, or violates prohibitions of coastal conservation plans set forth in Subparagraph 3 of Paragraph 1 of Article 13 shall be punished with a fine no less than NT$60,000 but not exceeding NT$300,000.

Where a conservation target is damaged or destroyed as a result of a violation in the preceding paragraph, the violator shall be punished with imprisonment no less than six months but not exceeding five years; in addition thereto, a fine not exceeding NT$400,000.

Where a disaster is caused as a result of a violation in paragraph 1, the violator shall be punished with imprisonment no less than three years but not exceeding ten years; in addition thereto, a fine not exceeding NT$600,000.

  • Article 12

Coastal zones with any of the following conditions shall be designated as first-grade coastal conservation zones, remaining zones that require protection may be designated as second-grade coastal conservation zones. A coastal conservation plan shall be formulated in accordance with the integrated coastal zone management plan for the conservation and management of each coastal conservation zone:

1. Important aquatic resource conservation zone.

2. Important habitat and ecological corridor of rare and precious animals or plants.

3. Special landscape resources and recreational zone.

4. Important shore land or underwater cultural heritage zone.

5. Contains special natural landforms.

6. Contains abundant biodiversity resources.

7. Ground water recharge zone.

8. International and national important wetlands and other important coastal ecological systems designated in accordance with the law.

9. Other important zones that require protection in accordance with the law.

Use of resources that will change the condition of resources in first-grade coastal conservation zones shall be prohibited. This does not apply under any of the following conditions:

1. The use of resources is compatible with the coastal conservation plan or serves maintenance, management or academic research purposes.

2. The use of resources is for national security or public safety and was approved by the Central Competent Authority.

For legal use of resources within first-grade coastal conservation zones that do not comply with the coastal conservation zone, the competent authority of the municipal or county (city) government may order a change or relocation of the resource use within a time-limit, and shall provide suitable compensation. Legal use of resources may be continued or changed to a use that has less influence on coastal conservation before the competent authority of the municipal or county (city) government orders a change or relocation.

Regulations for the determination of usage not compliant with coastal conservation plans and compensation, and conditions for permission, procedures, abolishment, and others matters shall be jointly established by the Central Competent Authority and related agencies.

  • Article 13, Paragraph 1, Subparagraph 3

Coastal conservation plans shall specify the following matters:

3. Prohibited and compatible use.

  • Article 33

Any person who violates prohibitions of coastal protection plans within a coastal protection zone set forth in Subparagraph 4 of Paragraph 1 on Article 15 shall be punished with a fine no less than NT$30,000 but not exceeding NT$150,000.

Where coastal protection works are damaged or destroyed as a result of a violation in the preceding paragraph, the violator shall be punished with imprisonment not exceeding five years; in addition thereto, a fine not exceeding NT$300,000.

Where a disaster is caused as a result of a violation in paragraph 1, the violator shall be punished with imprisonment no less than one year but not exceeding seven years; in addition thereto, a fine not exceeding NT$500,000.

  • Article 15, Paragraph 1, Subparagraph 4

Coastal protection plans shall specify the following matters:

4. Prohibited and compatible use.

  • Article 34

Any person who violates prohibitions of coastal conservation plans in a second-grade coastal conservation zone set forth in Subparagraph 3 of Paragraph 1 of Article 13 shall be punished with a fine no less than NT$20,000 but not exceeding NT$100,000.

Where a conservation target is damaged or destroyed as a result of a violation in the preceding paragraph, the violator shall be punished with imprisonment not exceeding three years, detention, and/or a fine not exceeding NT$200,000.

Where a disaster is caused as a result of a violation in paragraph 1, the violator shall be punished with imprisonment no less than six months but not exceeding five years; in addition thereto, a fine not exceeding NT$400,000.

  • Article 35

Any person who avoids, obstructs or refuses surveys in Subparagraph 1 of Paragraph 1 of Article 21 shall be punished with a fine no less than NT$10,000 but not exceeding NT$50,000, and may be fined per violation and subject to compulsory inspection.

  • Article 21, Paragraph 1, Subparagraph 1

Agencies formulating or implementing the integrated coastal zone management plan, coastal conservation plans or coastal protection plans may engage in the following conduct for the formulation or implementation of said plans:

1. Send personnel into public or private land for field surveys.

  • Article 36

Any person who violates Paragraph 1 of Article 25 by carrying out construction without the competent authority's approval or not according to the approved contents shall be punished with a fine no less than NT$60,000 but not exceeding NT$300,000, and shall be ordered to make improvements or restore the site to its original state within a prescribed time limit. In the event the violator fails to comply, the violator may be fined per violation.

  • Article 25, Paragraph 1

Applicants of development, construction, buildings, or special usages reaching a certain scale in specific zones of non-first-grade coastal conservation zones shall attach a coastal zone utilization and management manual when applying for the Central Competent Authority's approval.

  • Article 37

Any person who violates Paragraph 1 of Article 31 by exclusively using or establishing artificial facilities in offshore area or public natural sand beaches, and does not restore the site to its original condition within a prescribed time limit after being prohibited by the competent authority shall be punished by a fine no less than NT$10,000 but not exceeding NT$50,000 and may be fined per violation.

  • Article 31, Paragraph 1

Exclusive use of and the establishment of artificial facilities in offshore area and public natural sand beaches are prohibited to maintain public access and public use rights. This shall not apply to uses or facilities that comply with the integrated coastal zone management plan and stipulations of other laws; or necessary uses or facilities for national land conservation, national security, public transportation, environmental protection, academic research, and public good after applying to the competent authority for approval.

  • Article 38

In addition to imposing fines on violators of Paragraph 1 of Article 32, Paragraph 1 of Article 33, or Paragraph 1 of Article 34, the competent authority shall order the violator to immediately cease use or construction, and may order the violator to restore the site to its original condition, demolish the facility, or add safety facilities within a prescribed time limit. In the event the violator fails to comply, the violator may be fined per violation.

 

In discharging his duty, if the representative of an artificial person, artificial person, the agent of natural person, employee or other staff violation any one of Articles 40, 41, 42, or Article 43, Paragraph 3, both the violators and their artificial person or natural person shall be subjected to the fine set out in relevant Articles.

  • Article 40

The following offenses shall be punished with imprisonment for not less than six months and not more than five years, and/or a fine of not less than NT$300,000 and not more than NT$1,500,000:

1.Violation of Article 24, Paragraph 1, unapproved import or export of live Protected Wildlife Species or products.

2.Violation of Article 35, Paragraph 1, trading, display or exhibiting with the intent to sell Protected Wildlife and its products.

  • Article 24, Paragraph 1

No import or export of live wildlife or Protected Wildlife products is allowed without prior approval from the NPA.

  • Article 35, Paragraph 1

Protected Wildlife and its products shall not be traded or displayed or exhibited in public areas without the permission of the Authorities.

  • Article 41

The following offenses shall be punished with imprisonment for not less than six months and not more than five years, and/or a fine of not less than NT$200,000 and not more than NT$1,000,000:

1. Violation of Article 18, Paragraph 1, Subparagraph 1, hunting or killing of a Protected Wildlife species;

2. Violation of Article 18, Paragraph 1, Subparagraph 2, hunting or killing of a Protected Wildlife species without the approval of the NPA;

3. Violation of Article 19, Paragraph 1, use of prohibited methods to hunt or kill Protected Wildlife;

If any of the above offenses are committed in designated Wildlife Refuges, the offender shall be subjected to the penalty prescribed for such offense up to 1/3.

Any unsuccessful attempt to commit an offense specified in the above Subparagraph 1 is punishable.

  • Article 18, Paragraph 1

Protected Wildlife should be conserved and shall not be disturbed, abused, hunted, killed or otherwise utilized, except in the following cases:

1. When population size exceeds the carrying capacity of the area; or

2. for academic research or educational purposes and with proper approval from the NPA.

  • Article 19, Paragraph 1

Hunting shall not be undertaken by the following methods:

1. Use of dynamite or explosives;

2. Use of poisons;

3. Use of electricity, narcotics or other paralysis methods;

4. Use of nets set up on land;

5. Use of firearms other than an authorized hunting rifle;

6. Use of traps, snares or other hunting equipment;

7. Use of other prohibited items or methods announced by the Authorities.

  • Article 42

The following offenses shall be punished with imprisonment for not more than one year; detention; and/or a fine of not less than NT$60,000 and not more than NT$300,000; if the conducts cause the death of protected species, the offender shall be punished with imprisonment for not more than two years, detention, and/or a fine of not less than NT$100,000 and not more than NT$500,000:

1. Disturbance or abuse of Protected Wildlife as prohibited by Article 18, Paragraph 1, Subparagraph 1;

2. Violation of Article 18, Paragraph 1, Subparagraph 2, by disturbance or abuse of the Protected Wildlife without proper approval by the NPA.

If any of the above offenses are committed in a designated Wildlife Refuge, the offender shall be subjected to the penalty prescribed for such offense up to 1/3.

  • Article 43

In violation of Article 8, Paragraph 2, anyone who conducts unauthorized development projects shall be subjected to a fine of not less than NT$300,000 and not more than NT$1,500,000.

In violation of Article 8, Paragraph 3, Article 9 or Article 13, anyone who fails to submit a rehabilitation plan within a set time limit, or fails to carry out the rehabilitation plan shall be subjected to a fine of not less than NT$400,000 and not more than NT$2,000,000.

If the above offenses have caused habitat destruction and the habitat has become inhabitable for wildlife, the offender shall be punished with imprisonment for not less than six months and not more than five years and/or a fine of not less than NT$300,000 and not more than NT$1,500,000.

  • Article 8, Paragraph 1 to 3

Any construction and land use in Major Wildlife Habitats should be carried out in ways and areas which least affects the habitat, and the original ecological functions of the habitat should not be harmed. If necessary, the Authorities shall ask the owners, users or occupants of a land use project to conduct an Environmental Impact Assessment.

Any farming, forestry, fishery or animal husbandry development utilization; mine exploration, earth or rock removal or related works; repair or construction of railroads, public roads or other roads; construction; establishment of parks or cemeteries; utilization of land for recreation, sporting or forest recreation areas, waste disposal or other utilization of Major Wildlife Habitats may begin only after application to the proper local authorities and after approval by the NPA. Only then can an application for such development be made to the relevant target business authorities.

Existing facilities, land utilization or development activities have a significant impact on the wildlife in the area, the NPA may require the relevant person or target business authority to put forth a plan for improvements within a certain time limit.

  • Article 9

If land use proceeds before the Environmental Impact Assessment referred to in Article 8, Paragraph 1, the Authorities shall inform and consult immediately with other appropriate responsible government agencies to halt the project. If destruction of the wildlife habitat has taken place, the Authorities and other appropriate government agencies shall request the responsible parties to put forward a rehabilitation plan within a certain time limit and should monitor this process. If the responsible parties do not put forward a rehabilitation plan, or in case of emergency, the Authorities may require that any resultant costs of necessary rehabilitation procedures be borne by the responsible parties.

  • Article 13

In areas which have received utilization approval per Article 8, Paragraph 2, but still experience damage to wildlife habitats, the Authorities shall order the developer to put forth a plan for rehabilitation within a certain time limit and monitor this process.

If the damage occurs in areas where utilization approval was not granted, in addition to measures in the above paragraph, the Authorities may use emergency methods, which are to be paid for by the party responsible for the damage.

 

Representatives, agents or employees of a juristic person who commits any of the offenses under Articles 56 through 58 shall be penalized. In addition, the juristic person shall be fined according to the provision(s) violated.

  • Article 56

Unauthorized access or use of another person's telecommunications facilities to communicate either through wire-based, wireless or other electromagnetic means, for personal gains or benefits of a third party, shall result in imprisonment of not more than five years, with a possible fine of not more than NT$1,500,000.

Manufacturing, altering or importing telecommunications equipment for unauthorized access or use of another person's telecommunications facilities, either for personal gains or benefits of a third party, shall result in imprisonment of one to seven years, with a possible fine of not more than NT$3,000,000. The same penalties shall also be applicable to sale, transfer, rental or lending of telecommunications equipment for such purposes.

Possession of telecommunications equipment for perpetrating a crime by oneself or a third party shall result in imprisonment of not more than three years, with a possible fine of not more than NT$500,000.

Inchoate violators of the first and second paragraphs shall be penalized too.

  • Article 56-1

Violators of Paragraph 1 of Article 6 regarding infringement on others' secrecy of communications shall be penalized with imprisonment of not more than five years, with a possible fine of not more than NT$1,500,000.

The legal representative or service personnel of a telecommunication enterprise who takes advantage of opportunity of his business to commit the aforementioned crimes shall be penalized with imprisonment of six months to five years, with a possible fine of not more than NT$2,000,000.

The inchoate violators of the first two paragraphs shall be penalized.

The violator of the first paragraph shall be subject to prosecution instituted only upon complaints.

  • Article 6, Paragraph 1

Communications processed through telecommunications enterprises or dedicated telecommunications shall not be accessed or taped without authorization, nor shall the privacy thereof be violated through other illegal means.

  • Article 57

An operator of a Type I telecommunications enterprise who violates paragraph 1 of Article 12 shall be subject to an imprisonment penalty of not more than three years, detention, and/or a fine of not more than NT$10,000,000.

  • Article 11

Telecommunications enterprises are classified into Type I telecommunications enterprises and Type II telecommunications enterprises.

A Type I telecommunications enterprise means an enterprise that installs telecommunications line facilities and equipment in order to provide telecommunications services.

The aforementioned telecommunications line facilities and equipment refer to network transmission facilities connecting the sending and receiving terminals, the switching facilities installed to be integrated with the network transmission facilities, and the auxiliary facilities of both.

A Type II telecommunications enterprise means a telecommunications enterprise other than Type I telecommunications enterprises.

  • Article 12, Paragraph 1

A Type I telecommunications enterprise may not operate without franchise and license issued by the MOTC.

  • Article 58

Anyone who sets up or uses a radio broadcast station or TV station to send radio frequency signals in violation of paragraph 5 of Article 46, that results in disturbing legal utilization of radio waves shall be penalized with imprisonment of not more than two years, detention, and/or a fine of not more than NT$600,000.

Anyone who arbitrarily uses or alters radio frequency in violation of paragraph 1 of Article 48 without authorization shall be penalized with detention, and/or a fine of not more than NT$200,000.

Anyone who has committed the aforementioned offence, thereby disturbing legal utilization of radio waves, shall be penalized with imprisonment of not more than two years, detention, and/or a fine of not more than NT$600,000.

  • Article 46, Paragraph 5

R.O.C. nationals may not establish or use radio broadcast stations or television broadcast stations on ships, aircraft, or other objects floating on water or in the air, which are outside R.O.C. territory, to transmit radio frequency signals to interfere with legal use of radio waves.

  • Article 48, Paragraph 1

The MOTC shall regulate radio frequency, power, mode of transmission, radio station identification signals and call signs, and other radio wave related matters. Permission from the MOTC must be obtained for operation or alteration of radio wave related matters. The MOTC shall enact regulations governing the planning and allocation of radio frequency, application procedures, principles of assignment, termination of approval, use administration of radio frequency, handling of interference the standard definition of interference and regulations related to the supervision of radio waves.

 

Where the representative of a juridical person, the agent or employee of a juridical person or natural person, or any other employee, in performing his duty, violates the provisions of Articles 60 to 62, the offender shall be punished pursuant to the provisions of the respective article. In addition thereto, the relevant juridical person or natural person shall be imposed with a fine for the amount as specified in the relevant article.

  • Article 60

Any person who violates the provisions of any subparagraph of Article 48, paragraph 1 shall be subject to imprisonment for a period of not exceeding five years, short-term imprisonment, or in addition thereto a fine of not exceeding one hundred and fifty thousand New Taiwan Dollars.

Any person who violates the rules promulgated by the competent authority pursuant to subparagraph (1) and (2) of Article 44, paragraph 1 shall be subject to imprisonment not exceeding three years, short-term imprisonment, or in lieu thereof or in addition thereto a fine of not exceeding one hundred and fifty thousand New Taiwan Dollars.

  • Article 48, Paragraph 1

Aquatic organisms shall not be caught or harvested by the use of:

1. Toxic substances.

2. Explosives or other dynamites

3. Electricity or other narcotics.

  • Article 44, Paragraph 1, Subparagraph 1 to 2

For the purposes of resources management and fisheries structure adjustment, the competent authority may promulgate regulations on the following matters:

1. Restriction or prohibition of the catching, harvesting, or processing of aquatic organisms.

2. Restriction or prohibition of the sale or possession of aquatic organisms or the products made therefrom.

  • Article 61

Any person who violates the rules on the restriction or prohibition of fishing gears and fishing methods promulgated by the competent authority pursuant to subparagraph (3) of Article 44, paragraph 1 shall be subject to imprisonment not exceeding six months, short-term imprisonment, or in lieu thereof or in addition thereto a criminal fine of not exceeding thirty thousand New Taiwan Dollars.

  • Article 44, Paragraph 1, Subparagraph 3

For the purposes of resources management and fisheries structure adjustment, the competent authority may promulgate regulations on the following matters:

3. Restriction or prohibition of the use of fishing gears and fishing methods.

  • Article 62

Any person who undertakes any of the following activities shall be liable to short-term imprisonment or in lieu thereof a fine of not exceeding one hundred and fifty thousand New Taiwan Dollars:

1. Altering the fishing vessel's name or the registration number.

2. Removing, vitiating, or destroying the signs on any fishing grounds or fishing gears.

3. Setting up fences, buildings, or any fishing gears to obstruct the migratory routes of fish without permission.

 

  1. Act for Distant Water Fisheries
  • Article 35, Paragraph 2

In case that the representative of the legal person, or agent of the legal or natural person, or person hired by the legal or natural person, or other persons involved related to the legal or natural person commit the violations stipulated in the preceding paragraph for performing duties, in addition to punishing the offender(s), a fine as referred to in the preceding paragraph shall also be imposed upon the legal or natural person concerned.

  • Article 35, Paragraph 1

Any offender who commits any of the following violations shall be subject to imprisonment of 3 years and under, or in lieu thereof or in addition thereto a criminal fine of 6 million to 30 million New Taiwan Dollars:

1. Not navigating to the designated port within the required timeframe set by the competent pursuant to Article 18, paragraph 1 or Article 20, paragraph 2; or

2. Navigating the fishing vessel out of the port in violation of Article 21, and not navigating to the designated port within the timeframe designated by the competent authority.

  • Article 18, Paragraph 1

In the event that sufficient and concrete evidence indicates a fishing vessel being involved in any serious infringement as stipulated in Article 13, paragraph 1, the competent authority shall order such fishing vessel to stop fishing and navigate to the designated port within the required timeframe for further inspection.

  • Article 13, Paragraph 1

Any person with the nationality of the Republic of China shall not conduct any of the following serious infringements:

1. Conducting distant water fisheries without the fishing license or the distant water fisheries permit referred to in Article 6, paragraph 1, or conducting distant water fisheries during the period of the execution of suspension of the fishing license;

2. Leaving ports without installing VMS or E-logbook system onboard fishing vessels, in violation of Article 9, paragraph 1;

3. Conducting transshipment at-sea, in-port or landing in-port without the authorization of the competent authority, in violation of Article 11, paragraph 1;

4. Engaging in fisheries cooperation without the approval of the competent authority in violation of Article 12, paragraph 1, and fishing in waters under national jurisdictions of other countries;

5. Falsifying, altering or concealing Chinese/English vessel name, names of registry port, CT numbers, or international radio call sign;

6. Intentionally causing the VMS to misreport vessels positions or rendering VMS non-functional when fishing;

7. Continuing catching species with catch limit when the total catch of such species of the fishing vessel has exceeded 20 percent of the quota allowed by the competent authority pursuant to the regulations prescribed in accordance with subparagraph (4) of Article 10, paragraph 2;

8. Fishing in prohibited fishing areas or periods;

9. Using fishing gears prohibited by the competent authority;

10. Engaging in fishing activities that are not authorized by the competent authority;

11. Fishing for, retaining, transshipping, landing or selling prohibited species;

12. Not submitting or filling in logbooks or catch reports, in violation of the regulations prescribed in accordance with Article 10, paragraph 2, or seriously misreporting logbooks or catch reports;

13. Refusing, evading, or obstructing any observer dispatched by the competent authority, the international fisheries organization or the country that the fisheries cooperation in engaged with for carrying out his/her observing duties;

14. Refusing, evading, or obstructing any inspection referred to in Article 11, paragraph 2; Article 12, paragraph 2; Article 16; Article 17, paragraph 1; or Article 25, paragraph 1; or any audit conducted pursuant to the regulations prescribed in accordance with Article 25, paragraph 4;

15. Falsifying, altering, destroying or concealing evidence related to violation of this Act;

16. Providing catch certificate documents of a fishing vessel for the use of catches of other fishing vessel(s), or using catch certificate documents of other fishing vessel(s) for selling catches caught by itself;

17. Falsification or alteration of catch certificate documents, using catch certificate documents not issued to the catch concerned, or intentionally using catch certificate documents that are falsified or altered to sell catches or fisheries products;

18. Participating in joint fishing with, transshipping with or supplying any fishing vessel listed on the IUU fishing vessel lists of the international fisheries organizations or stateless vessel;

19. Trading (purchasing, selling, marketing, etc.) or processing catches or fisheries products with the knowledge that such catches or fisheries products originate from any of the following circumstances:

(1) Any circumstances as stipulated in subparagraph (1) to the preceding subparagraph of this Article; or

(2) Catches are caught by any fishing vessel listed in the IUU fishing vessel lists of the international fisheries organizations.

  • Article 20, Paragraph 2

In case that any fishing vessel has left the port before the suspension or revocation of the fishing license is imposed upon it by the competent authority pursuant to Article 35, paragraph 3; Article 36, paragraph 1 and 3; Article 40, paragraph 2; Article 41, paragraph 1 and 2; or Article 42, paragraph 3, the competent authority shall order such fishing vessel to navigate to the designated port within the required timeframe.

  • Article 21

For any fishing vessel that leaves the port against the provisions stipulated in Article 9, paragraph 1; Article 19, paragraph 2; and Article 20, paragraph 1, the competent authority may commission the Coast Guard Administration to take appropriate measures to stop such fishing vessel from leaving the port. In case that such fishing vessel resists, the Coast Guard Administration may take compulsory measures. For such fishing vessel that has left the port, the competent authority shall order such fishing vessel to navigate to the designated port within required timeframe.

  • Article 9, Paragraph 1

Any fishing vessel of distant water fisheries shall be installed with vessel monitoring system (hereinafter referred to as VMS) and electronic logbook system (hereinafter referred to as E-logbook) before leaving ports.

  • Article 19

The competent authority shall immediately conduct inspection upon the fishing vessel entering into the designated port in accordance with paragraph 1 of the preceding Article, and shall complete the investigation within 30 days upon such vessel entering into the port. If necessary, the period for the investigation may be extended for once and shall be limited to 30 days.

The fishing vessel concerned shall not leave the designated port before the competent authority completes the investigation pursuant to the preceding paragraph.

  • Article 20, Paragraph 1

In case of any of the following circumstances, the fishing vessel shall not leave the port:

1. The fishing vessel whose fishing license is revoked;

2. The fishing vessel whose fishing license is suspended and is still during the period of punishment.

 

Representative, agent, employee or other servants of a legal entity committing an offense due to performing duty, shall be penalized as an actor, additionally; the legal entity is also subject to the fine under the previous Paragraph.

  • Article 69, Paragraph 1

Mining without obtaining mineral right pursuant to the Act shall be sentenced to imprisonment for a term of 5 years or less, detention or a fine or a combined fine of not less than NT$200,000 and up to NT$1,000,000.

 

 

[1] Hui-Fang Tsai, Examining and Constructing The Theories on Taiwanese Corporate Criminal Liability, 28.4 Soochow L.Rev. 1, 4 (2017).  

[2] Markus D. Dubber, The Comparative History and Theory of Corporate Criminal Liability, 16 New Crim. L. Rev. 203, 208 (2013).

[3] 212 U.S. 481 (1909).

[4] Albert W. Alschuler, Two Ways to Think about The Punishment of Corporations, 46 Am. Crim. L. Rev. 1359, 1364 (2009).

[5] Id.

[6] 212 U.S. at 494-495.

[7] 95 S.C. Tai-Shan (台上) 4536 (2006).