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Disciplinary Procedures Against Employees of Mega Securities in Violation of Securities Firms Regulations

1.Date of disciplinary action:February 11, 2020
2.Subject of disciplinary action:Manager of Mega Securities, Zhongxiao Branch, ○○Chang.
3.Basis of disciplinary disposition: Article 56 of the Securities and Exchange Act and Subparagraph 7 of Paragraph 2 in Article 18 of the Regulations Governing Responsible Persons and Associated Persons of Securities Firms.
4.Description of violations:Manager ○○Chang at the Zhongxiao Branch of Mega Securities used clients'' accounts to trade securities, and the actions were determined to have violated regulations related to securities management.
5.Results of disciplinary actions:In accordance with Article 56 of the Securities and Exchange Act, Mega Securities will suspend the manager at the Zhongxiao Branch of Mega Securities, ○○Chang, for 3 months.
Visitor: 617   Update: 2020-02-18