Regulatory Alerts2026-06-03
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Financial Supervisory Commission Securities and Futures Bureau Daily News (June 3, 2026)
The Financial Supervisory Commission imposed a fine of NT$240,000 on Guo oo, the responsible person of Senwei Energy Co., Ltd., for failing to announce a mediation application regarding a NT$20.7 billion dispute with Taiwan Power Company within two days as required by the Securities and Exchange Act. Additionally, the Commission fined Yongfong Gold Securities Co., Ltd. NT$600,000 and ordered the suspension of employee Zeng OOO's business activities for two months due to violations including unsolicited securities recommendations, internal staff using the same IP address as clients, unauthorized scanning of client documents, and staff trading via relatives' accounts. A declaration for the issuance of restricted stock by Guanghong Jian Sheng Co., Ltd. is scheduled to take effect on June 4, 2026, following the company's correction of incomplete filing documents.
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