Securities and Futures Bureau, Financial Supervisory Commission SFB
Activity · 90 days
Laws & RegulationsEnforcementNews
Source pages
Who they are
The FSC bureau for securities and futures markets. Its site groups work on corporate governance, supervision of certified public accountants and enterprises providing virtual asset services.
What they do
Publishes administrative sanctions and an enforcement action list covering securities firms, investment trust and consulting enterprises and accountants.
Key laws & regulations issued
Enforcement by this regulator
The latest 10 of 38 — see all 38 on the Enforcement tab.
| Date | Entity | Action | Penalty | Source |
|---|---|---|---|---|
| 7 Oct 2026 | Primasia Securities Co., Ltd. (securities firm (futures introducing broker)) | Monetary Penalty | TWD 120,000≈ US$3,774 | official |
| 23 Sep 2026 | Capital Securities Corp. (securities firm) | Monetary Penalty | TWD 300,000≈ US$9,459 | official |
| 15 Sep 2026 | President Futures Co., Ltd. (futures commission merchant) | Monetary Penalty | TWD 120,000≈ US$3,768 | official |
| 2 Sep 2026 | Taishin Futures Co., Ltd. (futures commission merchant) | Monetary Penalty | TWD 240,000≈ US$7,564 | official |
| 2 Sep 2026 | Fubon Futures Co., Ltd. (futures commission merchant) | Monetary Penalty | TWD 480,000≈ US$15,129 | official |
| 1 Sep 2026 | Cathay Securities Investment Trust Co., Ltd. (securities investment trust enterprise) | Business Restriction Monetary Penalty | TWD 6,000,000≈ US$189,675 | official |
| 21 Aug 2026 | Horizon Securities Co., Ltd. (securities firm (futures proprietary trading)) | Monetary Penalty | TWD 120,000≈ US$3,768 | official |
| 18 Aug 2026 | Yong Cheng International Securities Investment Consulting Co., Ltd. (securities investment consulting enterprise) | Prohibition Order Monetary Penalty | TWD 1,200,000≈ US$37,565 | official |
| 12 Aug 2026 | Moore Securities Investment Consulting Co., Ltd. (securities investment consulting enterprise) | Monetary Penalty Remedial Direction | TWD 900,000≈ US$27,910 | official |
| 11 Aug 2026 | Pocket Securities Co., Ltd. (securities firm) | Monetary Penalty Remedial Direction | TWD 300,000≈ US$9,294 | official |
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Related regulators
Others in Taiwan supervising overlapping sectors.