1.    Date the punishment was imposed: 28 July 2017
2.    Recipient of the punishment: Cheng-Tung Security Investment Consultant Co., Ltd. (hereinafter referred to as  the “Company”) and its Associated Person, Chen, XX (hereinafter referred to as “Chen”)
3.    Legal basis of the punishment: Articles 102, 104 and 117 of the Securities Investment Trust and Consulting Act, subparagraph 5 paragraph 2 Article 13 of the Regulations Governing Securities Investment Consulting Enterprises, and subparagraph 5 paragraph 2 Article 15 of the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises.
4.    Facts of the violation and reasons: Chen, the Associated Person of the Company, has committed the violation of making a statement which apparently contradicted the fact or is misleading to cause false belief.
5.    The disciplinary action: We issued an official reprimand on the Company and suspend its Associated Person, Chen, from performing the duties for 1 month, pursuant to Articles 102 and 104 of the Securities Investment Trust and Consulting Act.
Contact Office: Ms. Chiu, Section Chief, Securities Investment Trust and Consulting Division
Contact Numbers: (02) 2774-7224
Please send your inquiry to: http://fscmail.fsc.gov.tw/FSC-SPS/SPSB/SPSB01002.aspx