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Disciplinary Action against Associated Person of Hantec Securities Consultant Limited for Violation of Regulations

1.Date of disciplinary action: January 18, 2021
2.Subject of disciplinary action: Chen ○○ , associated person of Hantec Securities Consultant Limited(hereinafter referred to as Hantec)
3.Legal basis for the disciplinary action: Article 104 of the Securities Investment Trust and Consulting Act , sub-paragraph 4, paragraph 2, Article 15 and paragraph 1, Article 15-1 of the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises.
4.Facts of violation and reasons: Since August 2018, Chen ○○, an employee of Hantec, has been frequently trading stocks but failing to report to Hantec. In addition, Chen ○○ had ever been trading the same stocks which were recommended by Hantec to its customers. All such facts are verified to have violated laws and regulations related to securities investment consulting enterprises.
5.Disciplinary action imposed: Hantec is ordered to suspend Chen ○○ from business execution for three months in accordance with Article 104 of the Securities Investment Trust and Consulting Act.
 
Visitor: 640   Update: 2021-01-26