I.    Date of sanction: February 4, 2026.
II.    Object of sanction: Good Finance Securities Co., Ltd. (hereinafter referred to as “Good Finance Securities”).
III.    Legal basis for the sanction: Article 65, and Subparagraph 4, Paragraph 1, Article 178-1 of the Securities and Exchange Act; Paragraph 2, Article 2 of the Regulations Governing Securities Firms.
IV.    Facts of violation: From July 9 to July 25, 2025, the Financial Examination Bureau of the Commission conducted a general business inspection of Good Finance Securities and found that the company's foreign currency risk exposure exceeded 15% of the net value in the most recent financial statements audited and certified by independent auditors; it failed to properly control the trading limits for persons lacking or with limited legal capacity; clients' account statements are sent to the associated persons' email address; its outsourcing contracts failed to specify mechanisms for client dispute resolution; its high-risk or material outsourcing items were not submitted for approval by the board chairperson as required by the internal regulations; the maintenance of the trading voice recording system equipment was excluded from the outsourcing agreement. These findings indicate that Good Finance Securities failed to implement internal control systems, thereby violating Paragraph 2, Article 2 of the Regulations Governing Securities Firms. 
V.    Sanction imposed: Pursuant to Article 65 and Subparagraph 4, Paragraph 1, Article 178-1 of the Securities and Exchange Act, a corrective action and a fine of NT$600,000 is imposed on Good Finance Securities. 
Contact person:    Section Chief Shih, Securities Firms Division, Securities and Futures Bureau
Tel.: (02)2774-7130
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