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09/28/2026
YFH announces on behalf of Yuanta Securities (Korea) of a penalty on it imposed by the Korea Financial Services Commission (FSC)
  1. Date of occurrence of the event： 2026/09/28
  2. The subject of the incident： report on behalf of subsidiaries：Yuanta Securities (Korea)
  3. Cause of occurrence (Explanation of the event)： After an inspection on Yuanta Securities (Korea)’s
    corporate bond sales practices conducted by the
    Financial Supervisory Service (FSS), Yuanta Securities (Korea)
    was imposed a fine by the Korea Financial Services Commission (FSC).
  4. Handling procedure： Yuanta Securities (Korea) had completed the relevant improvement
    measures and employee training and voluntarily paid the fine on
    2026/9/28 .
  5. Status of the injunction by the respective competent authority： Yuanta Securities (Korea) was imposed a KRW 1.107 bn fine ;
    a 20% discount will be applied to such fine (which will be
    adjusted to KRW 885.6 mn) for voluntary payment by 2026/09/28
    (inclusive).
  6. Whether being fined or penalized： Yes
  7. Administrative fines(amount)： NTD 0 元;
    KRW 1,107,000,000 元
  8. Anticipated possible loss or impact： KRW 885.6 mn
  9. Amount of insurance claims that might be obtained(amount)： Not available
  10. Improvement status and future countermeasures： Yuanta Securities (Korea) has enhanced its internal controls
    and has completed relevant training programs.
  11. Whether material information regarding the same event has been previously released： None
  12. Any other matters that need to be specified： 1.KRW 1.107 bn (the fine) is equivalent to approximately NTD
    26.07mn ; KRW 885.6 mn (after 20% discount being applied
    to the fine) is equivalent to approximately NTD 20.85 mn.
    2.The exchange rate of KRW to NTD used herein is 0.023546.