一、Date the fine was imposed：25 September 2017.

二、Recipient of the fine：Futures traders named Yang and Chen, and the employee named Chiang of Marbo Securities Investment Consulting Co., Ltd. 

三、Legal basis of the fine：Article 105 of Futures Trading Act.

四、Facts of the violation and reasons：Futures traders named Yang and Chen, and the employee named Chiang of Marbo Securities Investment Consulting Co., Ltd., mandated a futures enterprise which has not been approved by the Competent Authority to engage in futures trading during 2015 and 2016.Such conduct violates laws of futures Trading Act.

五、Resulting fine：An administrative fine of NT$120,000 was imposed on Yang , Chen and Chiang individually pursuant to Article 119 of the Futures Trading Act.