China Development Financial Holding Corp was fined TWD 20mn. Its subsidiaries China Life and KGI Securities were fined TWD 6mn and TWD 2.4mn respectively.
August 4, 2022Cathay Securities, Concord Securities and SinoPac Securities were fined the most and barred from certain business and capital raising activities for three months.
March 5, 2021Three former remisiers and one former insurance agent were banned following convictions connected to false trading in Catalist-listed Koyo International.
March 4, 2021The case relates to the August suicide of a former KGI Securities employee, who suffered large investment losses as a result of illegal futures trades for his clients.
December 31, 2020The brokerage firm is reportedly under scrutiny because a stock broker claimed in a suicide note that he was instructed to place orders for clients through a separate laptop in the office.
September 6, 2020The Taiwan Stock Exchange and GreTai Securities Market have so far approved a total of 9 securities firms to issue exchange traded notes in Q2 this year.
February 22, 2019Brokers issuing ETNs must have a net worth exceeding $325mn and a capital adequacy ratio of at least 250%.
September 17, 2018Asia Pacific Exchange will become Singapore's third derivatives exchange, initially offering dollar-denominated and physically tradable palm olein futures starting 25 May.
May 21, 2018