1.Date of disciplinary action: November 11, 2020

2.Object of disciplinary action: XX Chao, former salesperson of Mega Securities Co., Ltd.

3.Legal basis for the disciplinary action: Article 56 of the Securities and Exchange Act and sub-paragraphs 9, 11, 17 and 23, paragraph 2, Article 18 of the Regulations Governing Responsible Persons and Associated Persons of Securities Firms.

4.Facts of law violation:

XX Chao, former salesperson of Mega Securities Co., Ltd., has violated the securities management laws and regulations by lending money to customers, keeping passbooks and signed withdrawal slips for customers, trading and settling securities on behalf of customers and introducing and promoting unauthorized securities to customers.

5.Disciplinary action imposed: Mega Securities Co., Ltd. is ordered to suspend its former salesperson Chao''s execution of business for one year in accordance with Article 56 of the Securities and Exchange Act.