Taiwan Financial Supervisory Commission - Major Penalty List
The major penalty list from Taiwan's Financial Supervisory Commission (FSC) highlights significant penalties imposed on financial institutions and related entities for violations of regulations. This list serves as an important resource for providing insights into issues such as fraud, money laundering, and other misconduct.
Mitigate risk with our comprehensive screening solutions for your AML and sanctions compliance.
95 Entities in Taiwan Financial Supervisory Commission - Major Penalty List
| Entity Name | Entity Type | Effective Date | Status |
|---|---|---|---|
永豐金證券股份有限公司 | Company | Mar 4, 2021 | active |
國泰證券有限公司 | Company | Nov 6, 2024 | active |
康和綜合證券股份有限公司 | Company | Nov 6, 2024 | active |
康合綜合證券股份有限公司 | Company | Jan 16, 2016 | inactive |
康和綜合證券股份有限公司 | Company | Jan 1, 2014 | inactive |
康和綜合證券股份有限公司 | Company | Nov 6, 2024 | active |
康和綜合證券股份有限公司 | Company | Mar 2, 2023 | active |
永豐黃金證券有限公司 | Company | Nov 6, 2024 | active |
中國信託商業銀行股份有限公司 | Company | Oct 1, 2015 | inactive |
時間證券投資顧問股份有限公司 | Company | Feb 27, 2024 | active |
FAQs
Why is compliance with the Swiss Restrictive Measures necessary?
Compliance with Swiss restrictive measures is essential for maintaining the integrity of the financial system and upholding international law. These measures are designed to deter illegal activities, such as terrorism financing and money laundering, ensuring that Switzerland remains a reputable global financial hub. Adhering to these regulations mitigates legal risks for businesses and fosters trust with stakeholders and regulators alike. Additionally, compliance demonstrates a commitment to ethical practices, safeguarding both the company's reputation and its operational longevity.
Which companies should comply with Swiss Restrictive Measures?
Companies operating in finance, trade, and technology sectors must comply with Swiss restrictive measures. This is crucial for businesses engaged in international transactions, investments, or partnerships with sanctioned entities. Compliance ensures adherence to Swiss laws and mitigates risks of legal penalties, reputational damage, and disruption of operations, thus maintaining trust with stakeholders and regulatory authorities.
APIs
Data License
Solutions
Pricing
All rights reserved | Terms of use Copyright ©2025 Trademo Technologies Inc.