A warning with a fine of NT$1.44 million is imposed on SinoPac Securities Co., Ltd.
2021-03-04
1. Date of disciplinary action:March 4, 2021
2. Object of disciplinary action: SinoPac Securities Co., Ltd. (hereinafter referred to as SinoPac Securities)
3. Legal basis for the disciplinary action: Paragraphs 1 , Article 66, and sub-paragraph 4, paragraph 1, Article 178-1 of the Securities and Exchange Act; paragraphs 1 and 3, ; paragraph 2, Article 2 of the Regulations Governing Securities Firms.
4. Facts of law violation: The firm failed to comply its own Co-Location Service Management Regulations. Please see the Press Release on March 4 2021 for detailed information.
5. Disciplinary action imposed:A warning with an administrative fine of NT$1.44 million is imposed on SinoPac Securities.
2. Object of disciplinary action: SinoPac Securities Co., Ltd. (hereinafter referred to as SinoPac Securities)
3. Legal basis for the disciplinary action: Paragraphs 1 , Article 66, and sub-paragraph 4, paragraph 1, Article 178-1 of the Securities and Exchange Act; paragraphs 1 and 3, ; paragraph 2, Article 2 of the Regulations Governing Securities Firms.
4. Facts of law violation: The firm failed to comply its own Co-Location Service Management Regulations. Please see the Press Release on March 4 2021 for detailed information.
5. Disciplinary action imposed:A warning with an administrative fine of NT$1.44 million is imposed on SinoPac Securities.
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Update：
2021-03-05