Date of announcement  2017/05/19 
Time of announcement  22:10:47 
 
Date of events   2017/05/19  
To which item it meets paragraph 39 
Statement  
1.Date of occurrence of the event:2017/05/19
2.Circumstances of the violation: KGI Securities' Hong Kong subsidiary has misconducted the business. KGI Securities has not implemented proper supervision of its subsidiary, and breached the securities governing rules and regulations.
3.Amount of administrative fines: none.
4.Status of the disposition by said competent authority: KGI Securities has been issued a warning by the FSC in accordance with Article 66 of the Securities and Exchanges Act.
5.Intended remedial measures: The Company will implement business practice improvements and enhance internal control mechanisms as well as legal compliance management.
6.Effect on the Company’s business operations: For the duration of three months, KGI Securities is prohibited from applying for or investing new business operations.
7.Any other matters that need to be specified:none.