Fine Imposition on the Person Responsible for the Act of Roo Hsing Co., Ltd.
2022-11-18
I. Date of sanction: November 18, 2022
II. Object of sanction: XX Chang, the person responsible for the act of Roo Hsing Co., Ltd. (hereinafter referred to as “Roo Hsing” or the “Company”).
III. Legal basis for the sanction: Paragraph 1, Article 14-6, subparagraph 6, paragraph 1, Article 178, and Article 179 of the Securities and Exchange Act, and paragraph 4, Article 4 of the Regulations Governing the Appointment and Exercise of Powers by the Remuneration Committee of a Company Whose Stock is Listed on the Taiwan Stock Exchange or the Taipei Exchange.
IV. Fact of violation: The board meeting of Roo Hsing adopted a resolution on March 29, 2022 to appoint Mr. Li, Chih-Hua as a member of the remuneration committee, but the Company did not publish the material information until June 1 of the same year, and did not make a public announcement and filing within 2 days after the occurrence of the fact as required; this is verified to have violated paragraph 1, Article 14-6 of the Securities and Exchange Act, and paragraph 4, Article 4 of the Regulations Governing the Appointment and Exercise of Powers by the Remuneration Committee of a Company Whose Stock is Listed on the Taiwan Stock Exchange or the Taipei Exchange.
V. Sanction imposed: A fine of NT$240,000 is imposed on the responsible person of the Company in accordance with subparagraph 6, paragraph 1, Article 178, and Article 179 of the Securities and Exchange Act.
Contact unit: Section Chief Pei, Corporate Finance Division, Securities and Futures Bureau
Tel: (02) 2774-7342
For any questions, please write to:FSCmail
II. Object of sanction: XX Chang, the person responsible for the act of Roo Hsing Co., Ltd. (hereinafter referred to as “Roo Hsing” or the “Company”).
III. Legal basis for the sanction: Paragraph 1, Article 14-6, subparagraph 6, paragraph 1, Article 178, and Article 179 of the Securities and Exchange Act, and paragraph 4, Article 4 of the Regulations Governing the Appointment and Exercise of Powers by the Remuneration Committee of a Company Whose Stock is Listed on the Taiwan Stock Exchange or the Taipei Exchange.
IV. Fact of violation: The board meeting of Roo Hsing adopted a resolution on March 29, 2022 to appoint Mr. Li, Chih-Hua as a member of the remuneration committee, but the Company did not publish the material information until June 1 of the same year, and did not make a public announcement and filing within 2 days after the occurrence of the fact as required; this is verified to have violated paragraph 1, Article 14-6 of the Securities and Exchange Act, and paragraph 4, Article 4 of the Regulations Governing the Appointment and Exercise of Powers by the Remuneration Committee of a Company Whose Stock is Listed on the Taiwan Stock Exchange or the Taipei Exchange.
V. Sanction imposed: A fine of NT$240,000 is imposed on the responsible person of the Company in accordance with subparagraph 6, paragraph 1, Article 178, and Article 179 of the Securities and Exchange Act.
Contact unit: Section Chief Pei, Corporate Finance Division, Securities and Futures Bureau
Tel: (02) 2774-7342
For any questions, please write to:FSCmail
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Update：
2023-01-10