1.     Date of sanction: August 25, 2025
2.     Object of sanction: Shin Kong Investment Trust Co., Ltd. (hereinafter referred to as “Shin Kong Investment Trust”).
3.     Legal basis for the sanction: Provisions under Article 102 of the Securities Investment Trust and Consulting Act; Article 30-1 of the Financial Consumer Protection Act; subparagraphs 2 and 8, paragraph 1, Article 22 of the     Regulations Governing Securities Investment Trust Enterprises; and subparagraph 9, Article 5 of the Regulations Governing Advertising, Business Solicitation, and Sales Promotion of Financial Service Enterprises.
4.     Facts of violation: Shin Kong Investment Trust provided the media with press release content involving fund promotion that could mislead investors into believing in guaranteed profits and investment performance forecasts, which constitutes a violation of the relevant laws and regulations governing securities investment trusts.
5.     Sanction imposed: A corrective measure was imposed pursuant to Article 102 of the Securities Investment Trust and Consulting Act, and a fine of NT$600,000 was imposed in accordance with subparagraph 1, paragraph 1, Article 30-1 of the Financial Consumer Protection Act.


Contact unit: Section Chief Lin, Securities Investment Trust and Consulting Division, Securities and Futures Bureau
Tel: 02-2774-7490
If you have any questions, please write to mail