1.Date of penalty: November 15, 2019

2.Subject of penalty: Dahwa Security Investment Consultant Co., Ltd. (hereinafter referred to as “Dahwa Security Investment Consultant”)

3.Legal reference: Paragraph 4, Article 9 of Money Laundering Control Act and Article 13 of Regulations Governing Anti-Money Laundering of Financial Institutions.

4.The facts: Dahwa Security Investment Consultant had four cash transaction entries of more than NT$500,000 each from July 1, 2017 to June 16, 2019 but had not reported such to Ministry of Justice Investigation Bureau. It has been determined that Dahwa Security Investment Consultant was in violation of Article 13 of Regulations Governing Anti-Money Laundering of Financial Institutions.

5.Result of punitive action: A fine of NT$500,000 is levied in accordance with Paragraph 4 of Article 9 of Money Laundering Control Act.