Financial Supervisory Commission Securities and Futures Bureau Daily News (June 3, 2026)

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Financial Supervisory Commission Securities and Futures Bureau Daily News (June 3, 2026)

2026-06-03

I. Dynamics of Publicly Issued Companies

1. Expected to take effect on June 4, 2026.
2. Cases of stopping public issuance: None.
3. Guanghong Jian Sheng Co., Ltd. (Listed Company, Stock Code 6442) declared the issuance of 1,000,000 shares of restricted employee stock. Due to incomplete filing documents, the company voluntarily corrected them on June 3, 2026, and sent copies to relevant units. According to Article 60-3, Paragraph 2, applying Article 12, Paragraph 2 of the "Guidelines for Issuers' Raising and Issuing of Securities," the period restarts from the date of correction completion. If no major abnormalities occur, it is expected to take effect after 7 business days. Contact Unit: Securities and Futures Bureau, Securities Issuance Group Section Chief Yang Contact Phone: (02)2774-7473

II. Securities Investment Trust Fund Cases

1. Effective/Approved on June 3, 2026: None.
2. Cases of voluntary correction/Stopping declaration effectiveness/Rescinding declaration effectiveness: None.

III. Fine Imposed on Guo oo, Responsible Person of Senwei Energy Co., Ltd.

1. Time of Penalty: June 3, 2026
2. Target of Penalty: Guo oo, the responsible person of Senwei Energy Co., Ltd.
3. Legal Basis for Penalty: Article 36, Paragraph 3, Item 2; Article 178, Paragraph 1, Item 4; Article 179 of the Securities and Exchange Act; Article 7, Item 9 of the Enforcement Rules of the Securities and Exchange Act.
4. Reasons for Violation: Senwei Energy Co., Ltd.'s (hereinafter referred to as Senwei Company) subsidiary, Fuwei Energy Co., Ltd., submitted a mediation application to the Public Construction Commission on May 29, 2025, regarding a performance dispute over the second phase offshore wind power project contract with Taiwan Power Company. The mediation amount reached NT$20,699,582 thousand, which constitutes a material impact on Senwei Company's shareholder equity or securities price. However, Senwei Company did not announce and declare the aforementioned mediation case until June 17, 2025, violating Article 36, Paragraph 3, Item 2 of the Securities and Exchange Act and Article 7, Item 9 of the Enforcement Rules of the Securities and Exchange Act, which require announcement and declaration within two days from the date the fact occurred.
5. Penalty Result: According to Article 178, Paragraph 1, Item 4 and Article 179 of the Securities and Exchange Act, Guo oo, the responsible person of Senwei Company, is fined NT$240,000. Contact Unit: Securities and Futures Bureau, Securities Issuance Group Section Chief Yang Contact Phone: (02)2774-7232

IV. Disciplinary Action Against Yongfong Gold Securities Co., Ltd. and Its Employee for Violating Securities Management Laws

1. Time of Disciplinary Action: June 3, 2026
2. Target of Disciplinary Action: Yongfong Gold Securities Co., Ltd. (hereinafter referred to as Yongfong Gold Securities) and employee Zeng OOO (hereinafter referred to as Employee Zeng).
3. Legal Basis for Disciplinary Action: Article 56 and Article 178-1, Paragraph 1, Item 4 of the Securities and Exchange Act; Article 2, Paragraph 2 and Article 37, Paragraph 1, Item 15 of the Securities Dealer Management Rules; Article 13, Paragraph 1 of the Securities Dealer Entrusted Purchase and Sale of Foreign Securities Management Rules; Article 18, Paragraph 2, Item 7 of the Securities Dealer Responsible Persons and Business Personnel Management Rules.
4. Reasons for Violation: The Commission's Inspection Bureau conducted special inspections at Yongfong Gold Securities' Municipal Branch and Nanjing Branch from October 15 to 23 and October 28 to November 4, 2025, respectively, and found the following deficiencies: (1) At the Municipal Branch, a salesperson accepted client telephone orders for trading and was found to have recommended securities trading to clients without a signed recommendation contract via telephone. (2) Internal personnel (Account 98) at both the Municipal Branch and Nanjing Branch used the same Internet Protocol (IP) address as clients to place orders. It was found that the company allowed internal personnel and clients to use the same IP address for orders. After verification and signed statements from internal personnel, the system stopped generating abnormal transaction reports for one year for such internal personnel and other unverified client accounts using the same IP address. (3) At the Municipal Branch, financial management personnel used a personal mobile phone APP to photograph and scan client application forms for subscription and faxed them on behalf of the clients. (4) At the Nanjing Branch, a salesperson used relatives' accounts to place orders for buying and selling stocks.
5. Disciplinary Result: Yongfong Gold Securities is fined NT$600,000 according to Article 178-1, Paragraph 1, Item 4 of the Securities and Exchange Act. Additionally, according to Article 56 of the same Act, Yongfong Gold Securities is ordered to suspend Employee Zeng's business activities for two months. Contact Unit: Securities and Futures Bureau, Securities Dealer Management Group Section Chief Shi Contact Phone: (02)2774-7130

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Cases Expected to Take Effect on June 4, 2026

Cases Expected to Take Effect on June 4, 2026

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Last Updated: 2026-06-03

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