1.    Date the fine was imposed: 17 April, 2023. 
2.    Recipient of the fine: Capital Futures Corp. (hereinafter " Capital Futures") and its associated persons Chen (hereinafter " Chen") and   Deng (hereinafter " Deng").
3.    Legal basis of the fine: Article 2, paragraph 2 and Article 55, subparagraph 19 of the Regulations Governing Futures Commission Merchants. Article 16, paragraph 2 of the Regulations Governing Responsible Persons and Associated Persons of Futures Commission Merchants.
4.    Facts of the violation and reasons: Both Chen and Deng provided traders with trading advice in Line Groups. Capital Futures failed to properly supervise and manage its salespersons, and did not implement the company's internal control regulations. Capital Futures, Chen and Deng have violated futures management laws and regulations.
5.    Resulting fine: An administrative fine of NT$240,000 was imposed on Capital Futures pursuant to Article 119, paragraph 1, subparagraph 2 of the Futures Trading Act; pursuant to Article 101, paragraph 1 of the same Act, Chen is suspended from performing futures trading business for 2 months; pursuant to Article 101, paragraph 1 of the same Act, Deng is suspended from performing futures trading business for 1 month.