I.    Date of sanction: February 4, 2026.
II.    Object of sanction: Taishin Securities Co., Ltd. (hereinafter referred to as “Taishin Securities”).
III.    Legal basis for the sanction: Article 56 and Subparagraph 4, Paragraph 1 of Article 178-1, of the Securities and Exchange Act, and Paragraph 2, Article 2 of the Regulations Governing Securities Firms.
IV.    Facts of violation: The Financial Examination Bureau of the Commission conducted a general business inspection of Taishin Securities and found that for clients with cross-branch daily trading limits totaling NT$10 million or more, Taishin Securities failed to annually investigate and update their client credit information; after the leverage multiple of inverse ETFs was increased to two times, Taishin Securities still accepted sub-brokerage buy orders from non-professional investors; Taishin Securities accepted sub-brokerage buy orders from non-professional investors for foreign virtual asset ETFs; when providing documents to judicial, prosecutorial, or investigative authorities for the retrieval or inquiry of client account opening, settlement, and trading information, Taishin Securities failed to handle such documents as confidential and failed to remind the requesting authorities of the confidentiality obligations. The above deficiencies indicate that the sanctioned party failed to implement internal control systems, thereby violating Paragraph 2, Article 2 of the Regulations Governing Securities Firms.
V.    Sanction imposed: Pursuant to Subparagraph 4, Paragraph 1 of Article 178-1, of the Securities and Exchange Act, a fine of NT$300,000 is imposed on Taishin Securities.
Contact person:    Section Chief Tseng, Securities Firms Division, Securities and Futures Bureau
Tel.: (02)2774-7401