1.    Date of sanction: January    12    , 2026 
2.    Object of sanction: Concord International Securities Co., Ltd.
3.    Legal basis for the sanction: Subparagraph 4, Paragraph 1, Article 178-1 of the Securities and Exchange Act.
4.    Facts of violation: The Financial Examination Bureau of the Commission conducted a general business inspection of the sanctioned party and found that the sanctioned party had clients who did not place their orders using either limit price or market price methods; client call-in telephone numbers were not retained; a single account purchased shares exceeding the quota control limit; the client applied to increase the loan-to-value ratio without any record of approval by the branch manager; the contact information retained for customer quotation purchase orders matched that of company employees, and without verifying whether any employee used another person’s name to subscribe, the subscription was directly processed; regarding personal data security maintenance operations, to date, no dedicated personal data management unit has been established, and no self-assessment report on personal data has been submitted for resolution by the board of directors or for approval by its authorized management department. Other deficiencies include failing to include physical paper documents and digital files containing client personal data within the scope of the inventory. These findings indicate that the sanctioned party failed to implement internal control systems, thereby violating Paragraph 2, Article 2 of the Regulations Governing Securities Firms.
    
5.    Sanction imposed: Pursuant to Subparagraph 4, Paragraph 1, Article 178-1 of the Securities and Exchange Act, a fine of NT$600,000 is imposed on Concord International Securities Co., Ltd.

Contact unit: Securities Firms Division, Securities and Futures Bureau
Tel: 2774-7401
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