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03/04/2025
YFH announces on behalf of Yuanta Securities (Korea) of a penalty on it imposed by the Korea Financial Services Commission (FSC)
     
  1. Date of occurrence of the event: 2025/03/04
  2. The subject of the incident: report on behalf of subsidiaries: Yuanta Securities (Korea)
  3. Cause of occurrence (Explanation of the event): The Korea Financial Supervisory Service conducted a regular inspection in year 2023 and found that Yuanta Securities (Korea) violated the prohibition on unsound business activities in the wrap and trust business. The Korea Financial Service Commission therefore imposed a fine on Yuanta Securities (Korea).
  4. Handling procedure: Yuanta Securities (Korea) had established an improvement plan and voluntarily paid the fine on 2025/03/04.
  5. Status of the injunction by the respective competent authority: Yuanta Securities (Korea) was imposed a KRW 3.2bn fine ; a 20% discount will be applied to such fine (which will be adjusted to KRW 2.56bn) for voluntary payment by 2025/03/04 (inclusive).
  6. Whether being fined or penalized: Yes
  7. Administrative fines(amount): NTD 0 元; KRW 3,200,000,000 元
  8. Anticipated possible loss or impact: KRW 2.56bn
  9. Amount of insurance claims that might be obtained(amount): Not available
  10. Improvement status and future countermeasures: Yuanta Securities (Korea) had established an enhanced system control mechanism and will implement the same thoroughly.
  11. Whether material information regarding the same event has been previously released: N/A
  12. Any other matters that need to be specified: 1.KRW 3.20bn (the fine) is equivalent to approximately NTD 72.91 million; KRW 2.56bn (after 20% discount being applied to the fine) is equivalent to approximately NTD 58.32 million. 2.The exchange rate of KRW to NTD used herein is 0.022783.