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 |
|---|---|---|---|
處永豐金證券股份有限公司警告及罰鍰新臺幣144萬元(金管證券罰字第1100330432號) | Company | Mar 4, 2021 | inactive |
統一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1100361696號、金管證投字第11003616961號、金管證投字第11003616962號、金管證投字第11003616963號、金管證投字第11003616964號) | Company | Apr 22, 2021 | inactive |
街口證券投資信託股份有限公司違反期貨信託事業管理法令處分案（金管證期罰字第1120382913號） | Company | Jun 30, 2023 | inactive |
群益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1100361676號、金管證投字第11003616761號、金管證投字第11003616762號、金管證投字第11003616763號) | Company | Apr 22, 2021 | inactive |
命令丹尼爾證券投資顧問股份有限公司解除董事長陳ＯＯ之職務(金管證投字第11103814211號) | Company | Mar 29, 2022 | inactive |
富邦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1120345386號、金管證投字第11203453861號、金管證投字第11203453862號) | Company | Sep 12, 2023 | inactive |
Zhuang | Individual | Jan 16, 2023 | inactive |
凱基證券股份有限公司及其受僱人違反證券期貨管理法令處分案(金管證券罰字第1090373803號) | Company | Dec 24, 2020 | inactive |
Leung ○○ | Individual | Jan 16, 2023 | inactive |
Ye ○○ | Individual | Jan 16, 2016 | 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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