Securities and Futures Bureau

Financial Supervisory Commission’s disciplinary action recipient: Original copy Date of issuance: February 5, 2013 Issue number: Financial Management Securities Penalty No. 11303805241 Penalty recipient: 永豐金證券股份有限公司 For-profit enterprise uniform number: 23113343 Address: Name of representative or manager: Zhu ○○ Address: Brief Purpose: A fine of NT$480,000 was imposed in accordance with the provisions of Article 178-1, Paragraph 1, Paragraph 4 of the Securities and Exchange Act at the time of the act.锾. Facts: On February 20 and 21, 2020, the Taiwan Stock Exchange Co., Ltd. (hereinafter referred to as the Stock Exchange) and the Securities Dealers Association of the Republic of China (hereinafter referred to as the Securities Dealers Association) conducted an inspection on the Dunbei Branch of the person subject to punishment. It was found that the salesperson Zhang ○○ (hereinafter referred to as Zhang Yuan) had accepted the customer's full authorization and failed to place orders according to the customer's instructions. The above defects showed that the person subject to punishment failed to fulfill his supervision and management responsibilities and failed to implement the internal control system. It was verified that he had violated It is stipulated in Article 2, Item 2 and Article 37, Item 5 of the Securities Dealers Management Rules. Reasons and legal basis: 1. According to the provisions of Article 2, Paragraph 2 of the Securities Dealers Management Rules, the business of securities firms shall be conducted in accordance with laws, articles of association and the established internal control system; the same provisions of Article 37, Paragraph 5 of the Rules, Securities firms are not allowed to accept discretionary entrustments from customers regarding the type, quantity, price, purchase or sale of securities. In accordance with the provisions of Article 178-1, Paragraph 1, Paragraph 4 of the Securities and Exchange Act at the time of the act, a securities firm that fails to implement the internal control system shall be fined not less than NT$240,000 but not more than NT$4.8 million. 2. When the stock exchange and the Securities Dealers Association conducted an inspection on the Dunbei branch of the person being punished on February 20 and 21, 2012, they found that the person being punished had the following deficiencies: (1) Member Zhang at the end of December 2077 It violates the provisions of Article 37, Paragraph 5 of the Securities Dealers Management Rules by accepting the customer's password and placing orders electronically to invest in U.S. stocks, overseas bonds and funds. (2) Member Zhang failed to purchase Indian Bull Bonds in accordance with the client's instructions, and instead subscribed for the Franklin Huamei Emerging Countries Fixed Income Fund, which violated the standard specification ca-11210 of the securities firm's internal control system, entrusted trading and transaction operations (42) The company exposed Business personnel shall not violate the provisions of Article 18 of the Rules for the Management of Responsible Persons and Business Personnel of Securities Firms when accepting entrustment from clients to buy or sell securities or engage in securities business. 3. The above-mentioned deficiencies indicate that the disciplinary person failed to fulfill his supervisory and management responsibilities and failed to implement the internal control system, which constitutes a violation of Article 2, Paragraph 2 and Article 37, Paragraph 5 of the Securities Dealers Management Rules, and the conduct is in accordance with the Securities and Exchange Law Article 178-1, paragraph 1, paragraph 4 stipulates that the punishment shall be as intended. Payment method: 1. Payment deadline: Pay within 10 days from the day after this sanction is served. 2. Please make payment according to the precautions on the payment slip attached to the (agency). Notes: 1. If the person subject to punishment is dissatisfied with this punishment, he shall file a petition through this Association (Banqiao District, New Taipei City) in accordance with the provisions of Article 58, Paragraph 1 of the Petition Law within 30 days from the day after the punishment is served. 18th Floor, No. 7, Section 2, Xianmin Avenue) filed a petition with the Executive Yuan. However, according to Article 93, Paragraph 1 of the Petition Act, unless otherwise provided by law, the filing of an appeal does not stop the execution of this sanction, and the person subject to the sanction shall still pay the fine. 2. If the person subject to punishment fails to pay the fine within the payment period specified in this punishment, the person shall be transferred to any branch of the Administrative Enforcement Agency of the Ministry of Justice for administrative enforcement in accordance with the proviso of Article 4, Paragraph 1 of the Administrative Enforcement Act. original: 永豐金證券股份有限公司 (Representative: Mr. Zhu ○○) Copy: Taiwan Stock Exchange Co., Ltd. (representative: Mr. Lin ○○), Securities OTC Trading Center of the Republic of China (agent: Mr. Chen ○○), Securities Business Association of the Republic of China (representative: Mr. Chen ○○), Securities and Futures Bureau (Accounting Office), Securities and Futures Bureau (Secretary’s Office), Securities and Futures Bureau (Securities Dealers Management Group) Financial Supervisory Commission (Financial Regulatory Commission) Recipient of the Order: Original and Copy Date of Issuance: China Document number issued on February 5, 113, Republic of China: Financial Management Securities No. 11303805242 Person to be punished: Zhang ○○ National identity card unified number or foreigner’s nationality and residence permit number: omitted Address: omitted Subject: Order 永豐金證券股份有限公司 (hereinafter referred to as SinoPac Securities ) Stop the execution of the punished person's business for 9 months, and report the execution status to the meeting for review within 10 days from the day after the punishment is served. Facts: On February 20 and 21, 2012, the Taiwan Stock Exchange Co., Ltd. (hereinafter referred to as the Stock Exchange) and the Securities Dealers Association of the Republic of China (hereinafter referred to as the Securities Dealers Association) SinoPac Securities Dunbei Branch conducted an inspection and found that the person subject to punishment had accepted the client's full authorization and failed to place orders in accordance with the client's instructions. It was verified that the person had violated Article 18, Paragraph 2, Paragraph 3 and Paragraph 13 of the Rules for the Management of Persons in Charge and Business Personnel of Securities Dealers. Regulation. Reasons and legal basis: 1. According to the provisions of Article 18, Paragraph 2, Paragraph 3 and Paragraph 13 of the Rules for the Management of Persons in Charge and Business Personnel of Securities Firms, business personnel shall not accept customer inquiries regarding the type, quantity, price and purchase price of securities. Discretionary entrustment to buy or sell, and failure to execute the purchase and sale of securities in accordance with the client's entrustment matters and conditions. In accordance with Article 56 of the Securities and Exchange Act, if the competent authority discovers that an employee of a securities firm has violated this Act or relevant laws and regulations, thereby affecting the normal execution of securities business, the competent authority may order the affiliated securities firm to cease its business for less than one year. Execute or remove their duties. 2. The Stock Exchange worked with the Securities Dealers Association on February 20 and 21, 2012. SinoPac Securities The Dunbei Branch conducted an inspection and found that the punished person had accepted passwords from customers since the end of December 2017, placed discretionary orders to invest in U.S. stocks, overseas bonds and funds through electronic orders, and failed to purchase Indian bull bonds according to customer instructions. In order to subscribe for Franklin Huamei Emerging Countries Fixed Income Fund, etc., it has been verified that it has violated the provisions of Article 18, Paragraph 2, Paragraph 3 and Paragraph 13 of the Rules for the Management of Persons in Charge and Business Personnel of Securities Dealers. 3. Based on the previously disclosed violations, the behavior of the person being punished has affected the normal execution of the securities business, and the punishment is in accordance with the provisions of Article 56 of the Securities and Exchange Act. Note: If the person subject to punishment is dissatisfied with this punishment, he should submit a written petition through this Association (County Citizen of Banqiao District, New Taipei City) in accordance with Article 58, Paragraph 1 of the Petition Law within 30 days from the day after the punishment is served. 18th Floor, No. 7, Section 2, Avenue) filed a petition with the Executive Yuan. However, according to Article 93, Paragraph 1 of the Petition Act, unless otherwise provided by law, the filing of an appeal does not stop the execution of this sanction, and the person subject to the sanction shall still pay the fine. original: 永豐金證券股份有限公司 (Representative: Mr. Zhu ○○), Zhang ○○ Copy: Taiwan Stock Exchange Co., Ltd. (Representative: Mr. Lin ○○), Securities Over-the-Counter Trading Center of the Republic of China (Representative: Mr. Chen ○○), Republic of China Securities Business Association (Representative: Chen ○○)