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.
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95 Entities in Taiwan Financial Supervisory Commission - Major Penalty List
| Entity Name | Entity Type | Effective Date | Status |
|---|---|---|---|
康和綜合證券股份有限公司違反證券管理法令處分案(金管證券罰字第1120380875號、金管證券罰字第11203808751號) | Company | Mar 2, 2023 | inactive |
Li ○ | Individual | Nov 6, 2024 | active |
Zhou ○○ | Individual | Nov 6, 2024 | active |
Ye ○○ | Individual | Nov 6, 2024 | active |
Liang ○○ | Individual | Nov 6, 2024 | active |
保德信證券投資信託股份有限公司及其人員違反證券投資信託事業管理法令處分案(金管證投罰字第1120384239號、金管證投字第11203842391號) | Company | Sep 12, 2023 | inactive |
Cai ○○ | Individual | Nov 6, 2024 | active |
瀚亞證券投資信託股份有限公司及其人員違反證券投資信託事業管理法令處分案(金管證投罰字第1100370851號、金管證投字第11003708511號) | Company | Jul 28, 2022 | inactive |
丹尼爾證券投資顧問股份有限公司違反證券投資顧問事業管理法令，處罰鍰新臺幣300萬元(金管證投罰字第1110381421號) | Company | Mar 29, 2022 | inactive |
復華證券投資信託股份有限公司及其人員違反證券投資信託事業管理法令處分案(金管證投罰字第1100361698號、金管證投字第11003616981號、金管證投字第11003616982號、金管證投字第11003616983號) | Company | Apr 22, 2021 | inactive |
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.
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