Securities and Futures Bureau

Financial Supervisory Commission’s disciplinary action recipient: Original copy Date of issuance: April 17, 2012 Issue number: Financial Supervisory Commission Qi Penalty No. 1120333213 Penalty recipient: The Capital Group Unified number of profit-making enterprises of a joint-stock company: 97176335 Address: Name of representative or manager: 〇〇 Address: Summary Purpose: A fine of NT$240,000. Facts: Taiwan Futures Exchange Co., Ltd. conducted an inspection on the person subject to punishment from January 0 to 0, 2009, and found that the person subject to punishment was the Taichung branch manager ○○○ (hereinafter referred to as member 0) and the salesperson ○○ ○ (hereinafter referred to as member 　) provided recommended trading information to futures traders in the line group. The person subject to punishment failed to perform the supervision and management responsibilities of its business personnel and failed to implement the provisions of the internal control system of the person subject to punishment. It has been verified Violation of the Futures Management Act. Reasons and legal basis: 1. Reasons: (1) According to "Anyone who falls under any of the following circumstances shall be fined not less than NT$120,000 but not more than NT$2.4 million: ... 2. Violation of Article 56, Item 5... "The order issued" is stipulated in Article 119, Paragraph 1, Paragraph 2 of the Futures Trading Act; the subsection "The business of a futures merchant shall be conducted in accordance with laws, regulations and the internal control system of the preceding paragraph" is the management rules of futures merchants. As specified in Article 2, Item 2. (2) The manager of the Taichung branch of the person being punished created a line community "000" during his tenure, and appointed the salesperson of the branch as the administrator. The members of this community include the Taichung branch Brokerage business customers, etc., members 0 and 0 respectively provide recommended trading information to futures traders in the Shangkai community, and are related to the person in charge and salesperson of futures merchants in Item 2 of Article 16 of the Management Rules for Futures Commission Personnel and Salespersons. There must be no violation of Article 55, Paragraph 19 of the Futures Commission Management Rules, "Providing recommended trading information to futures traders by any means", and the person being punished failed to perform the supervision and management responsibilities of its business personnel and failed to implement the internal control system. ca-21230 Salesperson Management" stipulates that "(18)...Salespersons... shall not engage in...the behaviors prohibited by Article 16 of the Futures Commission Manager and Salesperson Management Rules...", the person being punished has violated the Futures Commission Management Rules Article 2, paragraph 2. (3) The violations listed above include the Taiwan Futures Exchange Co., Ltd.'s audit report in October 2000, the person who was punished stated his opinions in the letter No. 000 dated January 0, 2000, and the opinions of members 0 and 0. The book is proof. 2. Legal basis: Article 119, Item 1, Item 2 of the Futures Trading Law, Article 2, Item 2 of the Futures Commission Management Rules. Payment method: 1. Payment deadline: Pay within 10 days from the day after this sanction is served. 2. Please make payment according to the notes on the payment note attached to the Securities and Futures Bureau of this Association. 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: The Capital Group Co., Ltd. (To whom service should be served: Representative 〇〇〇) Copy: Taiwan Futures Exchange Co., Ltd. (Representative 〇〇〇), Futures Industry Association of the Republic of China (Representative 〇〇〇), our Securities Futures Bureau (Accounting Office), Securities and Futures Bureau (Secretary Office), Securities and Futures Bureau (Futures Management Group) -------------------------- -------------------------------------------------- ----------------------- Financial Supervisory Commission Adjudication Letter Recipient: Original copy Date of issue: April 17, 112, Republic of China Issue number : Financial Management Certificate No. 11203332131 Person to be punished: Chen ○○ Unified national identity card number or foreigner’s nationality and residence permit number: Omitted Address: Omitted Purpose: Stop the execution of the 2-month futures business of the person being punished, and the period will start from From May 1, 2012 to June 30, 2012. The Capital Group Co., Ltd. (hereinafter referred to as The Capital Group ) shall report to the Commission within 10 days from the day after this sanction is served on the execution status of the company’s personnel’s suspension of futures business. Facts: Taiwan Futures Exchange Co., Ltd. (hereinafter referred to as the Futures Exchange) from ○, ○, month ○ to ○ The Capital Group An investigation was conducted and it was found that the person subject to punishment had provided recommended trading information to futures traders in the line group, which was found to have violated the Futures Management Act. Reasons and legal basis: 1. Reasons: (1) According to "...the person in charge or employee of the futures industry who violates this Act or the order issued in accordance with this Act, in addition to being punished in accordance with this Act, the competent authority may also Depending on the seriousness of the case, order the suspension of the execution of its business for a period of less than 6 months..." This is stipulated in Article 101, Paragraph 1 of the Futures Trading Act; subsequently, "The person in charge and salesperson of a futures commission merchant shall not... The acts prohibited by Article 55..." are stipulated in Article 16, Paragraph 2, of the Rules for the Management of Futures Commission Personnel and Salespersons; it does not apply to the following: "A futures commission merchant engaged in futures trading shall not engage in the following circumstances: ... 19. In any way, any futures dealer shall "Traders provide recommended trading information" is stipulated in paragraph 19 of Article 55 of the Futures Commission Management Rules. (2) Salary for punishment The Capital Group The manager of the Taichung branch also created the online community "○○○" and appointed The Capital Group Salesperson ○○○ of Taichung Branch serves as the administrator. The members of this community include the brokerage business clients of the branch. The person being punished provided recommended trading information in the above community, which was found to have violated the management rules of futures dealers and salespersons. Paragraph 2 of Article 16 states that the person in charge and salesperson of a futures commission merchant shall not engage in conduct prohibited by Paragraph 19 of Article 55 of the Futures Commission Management Rules. (3) Any violation of regulations shall be subject to the futures exchange’s inspection report in ○year and ○month, The Capital Group As evidenced by the statement of opinions in Qunqi Zi Letter No. ○○○ dated January ○, year ○, and the statement of opinions by the person subject to punishment, the punishment is in accordance with the provisions of Article 101, Paragraph 1 of the Futures Trading Act. 2. Legal basis: Article 101, paragraph 1, of the Futures Trading Law, Article 16, paragraph 2, of the Futures Commission Managers and Salespersons Management Rules, and Article 55, paragraph 19, of the Futures Commission Management Rules. 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, in accordance with Article 93, Paragraph 1 of the Appeals Act, unless otherwise provided by law, the filing of an appeal does not stop the execution of this sanction. Original: Chen○○, The Capital Group Co., Ltd. (To be served: Representative ○○○) Copy: Taiwan Futures Exchange Co., Ltd. (Representative ○○○), Futures Industry Association of the Republic of China (Representative ○○○), Securities and Futures Administration (Futures Management Group) --------------------------------------------- ---------------------------------------------- - --- Financial Supervisory Commission's tribunal letter Recipient: Original copy Date of issuance: April 17, 2012 Issue number: Financial Management Certificate No. 11203332132 Punished person: Deng ○○ National identity card unified number Or the foreigner’s nationality and residence permit number: Address: Omitted Purpose: The execution of the one-month futures business of the person being punished shall be suspended from May 1, 2020 to May 31, 2012. The Capital Group Co., Ltd. (hereinafter referred to as The Capital Group ) shall report to the Commission within 10 days from the day after this sanction is served on the execution status of the company’s personnel’s suspension of futures business. Facts: Taiwan Futures Exchange Co., Ltd. (hereinafter referred to as the Futures Exchange) from ○, ○, month ○ to ○ The Capital Group An investigation was conducted and it was found that the person subject to punishment had provided recommended trading information to futures traders in the line group, which was found to have violated the Futures Management Act. Reasons and legal basis: 1. Reasons: (1) According to "...the person in charge or employee of the futures industry who violates this Act or the order issued in accordance with this Act, in addition to being punished in accordance with this Act, the competent authority may also Depending on the seriousness of the case, order the suspension of the execution of its business for a period of less than 6 months..." This is stipulated in Article 101, Paragraph 1 of the Futures Trading Act; subsequently, "The person in charge and salesperson of a futures commission merchant shall not... The acts prohibited by Article 55..." are stipulated in Article 16, Paragraph 2, of the Rules for the Management of Futures Commission Personnel and Salespersons; it does not apply to the following: "A futures commission merchant engaged in futures trading shall not engage in the following circumstances: ... 19. In any way, any futures dealer shall "Traders provide recommended trading information" is stipulated in paragraph 19 of Article 55 of the Futures Commission Management Rules. (2) The salary of the person being punished The Capital Group The salesperson of Taichung branch also serves as an administrator in the online community "○○○". The members of this community include The Capital Group Taichung branch brokerage business customers, etc., the person being punished provided recommended trading information in the online community, and it was found that the person in charge and the salesperson of the futures commission merchant violated Paragraph 2 of Article 16 of the Management Rules for Futures Commission Personnel and Salespersons. Prohibited conduct in Article 55, Paragraph 19 of the Futures Commission Management Rules. (3) Any violation of regulations shall be subject to the futures exchange’s inspection report in ○year and ○month, The Capital Group As evidenced by the statement of opinions in Qunqi Zi Letter No. ○○○ dated January ○, year ○, and the statement of opinions by the person subject to punishment, the punishment is in accordance with the provisions of Article 101, Paragraph 1 of the Futures Trading Act. 2. Legal basis: Article 101, paragraph 1, of the Futures Trading Law, Article 16, paragraph 2, of the Futures Commission Managers and Salespersons Management Rules, and Article 55, paragraph 19, of the Futures Commission Management Rules. 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, in accordance with Article 93, Paragraph 1 of the Appeals Act, unless otherwise provided by law, the filing of an appeal does not stop the execution of this sanction. Original: Deng○○, The Capital Group Co., Ltd. (To be served: Representative ○○○) Copy: Taiwan Futures Exchange Co., Ltd. (Representative ○○○), Futures Industry Association of the Republic of China (Representative ○○○), Securities and Futures Administration (Futures Management Group)