Sanction on Taishin Futures Co., Ltd. for Violations of Fut......

1. Date of sanction: September 2, 2026
2. Object of sanction: Taishin Futures Co., Ltd. (hereinafter referred to as "Taishin Futures").
3. Legal basis for the sanction: Paragraph 2, Article 2 of the Regulations Governing Futures Commission Merchants.
4. Facts of violation: Taishin Futures experienced information system incidents from April 7 to 10, 2026. Upon investigation, it was found that the programs developed by Taishin Futures had inadequate input validation, and that the processing and synchronization mechanisms of the middle-tier and back-end components of its trading programs were inadequately designed. In addition, Taishin Futures failed to design effective testing methods and to review and verify the test results during the testing process. Furthermore, in relation to the information system incidents that occurred on April 7 and 10, 2026, Taishin Futures failed to post announcements regarding the system abnormalities on the homepages of the relevant online order placement platforms. These circumstances demonstrate that Taishin Futures failed to properly implement the requirements of its internal control system and thereby violated futures management laws and regulations.
5. Sanction imposed: Pursuant to Subparagraph 2, Paragraph 1, Article 119 of the Futures Trading Act, a fine of NT$240,000 was imposed on Taishin Futures.