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Yuanta Financial Holdings announces on behalf of Yuanta Securities for being corrected by FSC (equal to 2 fault points)

August 14, 2014



ENP Newswire - 14 August 2014

Release date- 13082014 - Yuanta Financial Holdings announces on behalf of Yuanta Securities for being corrected by FSC (equal to 2 fault points).

Date of occurrence of the event:2014/08/12

Circumstances of the violation: According to FSC's letter, Yuanta Securities, who was mandated by Ledlink Optics as the lead underwriter to handle matters relating to reporting the capital increase for cash through issuance of new shares in 2014 and providing assessment report, was found violating paragraph 2 and 6 of Article 25 of the Regulations Governing Securities Firms. Yuanta Securities was imposed with correction according to Article 65 of the Securities and Exchange Act (equal to 2 fault points).

Status of the disposition by said competent authority: Yuanta Securities was imposed with correction (equal to 2 fault points).

Intended remedial measures: Correction plan has been implemented by Yuanta Securities.

Effect on the Company's business operations: None

Any other matters that need to be specified: None


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Source: ENP Newswire


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