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09/23/2025
YFH announced on behalf of Yuanta Securities regarding sanctions imposed by Financial Supervisory Commission
  1. Date of occurrence of the event：2025/09/23
  2. The subject of the incident：report on behalf of subsidiaries：Yuanta Securities
  3. Cause of occurrence (Explanation of the event)：The Taiwan Stock Exchange conducted an audit of Yuanta Securities and discovered that a former sales representative surnamed Liu violated securities related regulations. The Financial Supervisory Commission subsequently imposes sanctions on Yuanta Securities.
  4. Handling procedure：Yuanta Securities has taken relevant improvement measures to strengthen the internal control systems and will also implement such measures in the future.
  5. Status of the injunction by the respective competent authority：Yuanta Securities is ordered to discharge Liu from her position and to decide on the punishment of relevant supervisors. Yuanta Securities is also imposed a warning and an administrative fine of NT$1.2 million.
  6. Whether being fined or penalized：Yes
  7. Administrative fines(amount)：NTD 1,200,000 元
  8. Anticipated possible loss or impact：An administrative fine of NT$1.2 million
  9. Amount of insurance claims that might be obtained(amount)：Not yet determined
  10. Improvement status and future countermeasures：Yuanta Securities has strengthened the operation of relevant internal control systems and will handle relevant improvement measures in accordance with the opinions of the competent authorities after receiving the disciplinary letter.
  11. Whether material information regarding the same event has been previously released：None
  12. Any other matters that need to be specified：Yuanta Securities has not yet received the administrative disciplinary letter and the above announcement was made based on the information available on FSC's official website.