Financial Supervisory Commission Securities and Futures Bureau Daily News (May 29, 2026)

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Financial Supervisory Commission Securities and Futures Bureau Daily News (May 29, 2026)

2026-05-29

I. Dynamics of Publicly Offered Companies and Other Entities

1. Effective June 1, 2026.
2. Cases of suspension of public offering: None.

II. Securities Investment Trust Fund Cases

1. Effective/Approved on May 29, 2026: None.
2. Cases of self-correction, suspension of declaration effectiveness, or release from declaration effectiveness: None.

III. Penalty Case Against Asia Pacific International Securities Investment Advisory Co., Ltd.

1. Penalty Date: May 29, 2026
2. Subject of Penalty: Asia Pacific International Securities Investment Advisory Co., Ltd.
3. Legal Basis for Penalty: Article 8 and Article 10 of the Anti-Money Laundering Act; Article 3, Paragraph 4, Item 1; Article 6, Paragraph 1; Article 8, Item 2; Article 9, Item 4; Article 10, Paragraph 1; Article 12, Item 1 and Item 2, Item 1 of the Financial Institutions Anti-Money Laundering Measures; and Article 102 of the Securities Investment Trust and Consulting Act.
4. Reasons for Violation: The penalized party failed to implement the following anti-money laundering and counter-terrorist financing risk control mechanisms and internal control systems, constituting a violation of relevant anti-money laundering laws and regulations: (1) Failure to identify or verify customer identities and preserve copies of customer identity documents or record them. (2) Failure to determine customer risk intensity using a risk-based approach. (3) Failure to formulate and implement an "Anti-Money Laundering and Counter-Terrorist Financing Plan" through board approval. (4) Absence of records confirming whether customers are current or former politically exposed persons of domestic or foreign governments or international organizations. (5) Failure to conduct ongoing monitoring of customer accounts and transactions, establish mechanisms for reporting suspicious transactions and related monitoring, and maintain records thereof.
5. Penalty Result: Pursuant to Article 8, Paragraph 5 and Article 10, Paragraph 4 of the Anti-Money Laundering Act, a fine of NT$1,000,000 is imposed, and pursuant to Article 102 of the Securities Investment Trust and Consulting Act, a correction is issued. Contact Unit: Investment Trust and Consulting Group, Securities and Futures Bureau Section Chief Lin Contact Phone: (02)2774-7490

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Last Updated: 2026-05-29

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