I.    Punishment date: July 1, 2026
II.    Punished party: Grand Fortune Securities Co., Ltd. (hereinafter referred to as “GFS”).
III.    Legal basis for the punishment: Subparagraph 4, Paragraph 1, Article 178-1 of the Securities and Exchange Act and Paragraph 2, Article 2 of the Regulations Governing Securities Firms.
IV.    Violation facts and reasons: The Financial Examination Bureau, Financial Supervisory Commission conducted a general business inspection of GFS from January 8 to 22, 2026, and found that GFS had failed to make a report according to the procedures for the value at risk for underwritten shares exceeding the limit of the department, had failed to establish reinforced control and emergency response measures for material outsourced matters, and had failed to handle the investigation of customers’ personal data by public agencies with confidentiality. These findings show that GFS did not duly implement its internal control system, which constitutes a violation of Paragraph 2, Article 2 of the Regulations Governing Securities Firms.
V.    Punishment results: According to Subparagraph 4, Paragraph 1, Article 178-1 of the Securities and Exchange Act, a fine of NT$300,000 was imposed on GFS.
Contact Unit:    Division Chief Weng, Securities Firms Division, Securities and Futures Bureau
Tel.: (02)2774-7112
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