I.Date of disciplinary action: October 28, 2019

II.Recipient of disciplinary action: Hantec Securities Consultant Limited

III.Legal basis of disciplinary disposition: Paragraph 1, Article 99 and Subparagraph 4, Article 113 of the Securities Investment Trust and Consulting Act.

IV.Facts of the violation and reasons: Hantec Securities Consultant Limited failed to file its 2018 financial report within three months after the 2018 fiscal year ended in accordance with Paragraph 1, Article 99 of the Securities Investment Trust and Consulting Act.

V.The disciplinary actions: An administrative fine of NT$120,000 was imposed on Hantec Securities Consultant Limited pursuant to Subparagrah 4, Article 113 of the Securities Investment Trust and Consulting Act.