1.Date of the fine was imposed: 13 May 2020

2.Recipient of the fine: E-invest Securities Investment Consultant Co., Ltd. 

3.Legal basis of the fine: Article 25, paragraph 1 of the Regulations Governing Futures Advisory Enterprises. 

4.Facts of the violation and reasons:. E-invest Securities Investment Consultant Co., Ltd. is permitted by the Commission to concurrently operate a futures consulting business. However, without being registered as the futures consulting salesperson of the company, its employee was performing the duty of salesperson by engaging in the solicitation of futures consulting business. This is verified to have violated futures management laws and regulations.

5.Resulting fine: An administrative fine of NT$120,000 was imposed on E-invest Securities Investment Consultant Co., Ltd pursuant to Article 119, paragraph 1, subparagraph 2 of the Futures Trading Act.