Track all Financial Supervisory Commission (TWFSC) fines and enforcement actions. 924 penalties from 2012-2026. Complete database with stats, trends, and analysis.
Coverage Snapshot
- Regulator: Financial Supervisory Commission
- Jurisdiction: Taiwan
- Tracked period: 2012-2026
- Tracked actions: 924
- Default currency: GBP
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Largest enforcement actions
| Firm or individual | Date | Amount | Breach category | Source |
|---|---|---|---|---|
| Cathay United Bank | 20 May 2024 | £1,250,000 | AML Violations | Notice |
| Yuanta Securities | 15 Dec 2023 | £875,000 | Market Manipulation | Notice |
| Fubon Life Insurance | 8 Sep 2023 | £700,000 | Investment Compliance | Notice |
| Sanction on KGI Securities Co., Ltd | 2 Aug 2022 | £60,000 | Sanction on KGI Securities Co., Ltd. for Violation of Securities Management Related Laws and Regulations | Notice |
| Transasia Airways Corporation | 7 Dec 2016 | £60,000 | Administrative Fine Imposed on Responsible Person of Transasia Airways Corporation. | Notice |
| Disciplinary action against infractions by Richers Securities Investment Consulting Co., Ltd. | 14 Oct 2014 | £60,000 | Disciplinary action against infractions by Richers Securities Investment Consulting Co., Ltd. | Notice |
| Disposition Imposed on National Investment Trust Co., Ltd | 2 Apr 2013 | £45,000 | Disposition Imposed on National Investment Trust Co., Ltd. for Violation of Laws and Regulations | Notice |
| The FSC Imposed Warnings, Fines and Other Necessary Administrative Sanctions on 10 Securities Firms which Have Deficiencies in the Use of Co-location Host Services | 4 Mar 2021 | £36,000 | The FSC Imposed Warnings, Fines and Other Necessary Administrative Sanctions on 10 Securities Firms which Have Deficiencies in the Use of Co-location Host Services | Notice |
| Disciplinary Action on Hua Nan Securities Co., Ltd | 30 Apr 2020 | £36,000 | Disciplinary Action on Hua Nan Securities Co., Ltd. for Violation of Securities Regulatory Laws | Notice |
| Disciplinary Case Against Yuanta Securities Co., Ltd. and Its Employee for Violations of Securities Regulations | 23 Sep 2025 | £30,000 | Disciplinary Case Against Yuanta Securities Co., Ltd. and Its Employee for Violations of Securities Regulations | Notice |
| Sanctions on King’s Town Securities Co., Ltd. and Its Employee | 15 Aug 2025 | £30,000 | Sanctions on King’s Town Securities Co., Ltd. and Its Employee for Violation of Securities Management Regulations | Notice |
| Sanctions on Nan Shan Life Insurance Co., Ltd., Cathay Life Insurance Co., Ltd., Taiwan Life Insurance Co., Ltd., Shin Kong Life Insurance Co., Ltd. and China Life Insurance Co., L | 20 Dec 2022 | £30,000 | Sanctions on Nan Shan Life Insurance Co., Ltd., Cathay Life Insurance Co., Ltd., Taiwan Life Insurance Co., Ltd., Shin Kong Life Insurance Co., Ltd. and China Life Insurance Co., Ltd. for Violation of Securities Management Related Laws and Regulations | Notice |
| Disciplinary action against infractions by Cheng Chuang Securities Investment Consulting Co., Ltd. | 14 Oct 2014 | £30,000 | Disciplinary action against infractions by Cheng Chuang Securities Investment Consulting Co., Ltd. | Notice |
| NT$1,200,000 Fine and Warning Imposed on Jih Sun Securities Investment Trust Co., Ltd. | 12 Sep 2013 | £30,000 | NT$1,200,000 Fine and Warning Imposed on Jih Sun Securities Investment Trust Co., Ltd. | Notice |
| Capital Investment Trust Corp. Received a Warning and Administrative Fine of NT$1.2 million; Former Fund Manager Tsai XX Dismissed from Duties | 25 Dec 2012 | £30,000 | Capital Investment Trust Corp. Received a Warning and Administrative Fine of NT$1.2 million; Former Fund Manager Tsai XX Dismissed from Duties | Notice |
| Sanction on Richers Securities Investment Consulting Co., Ltd. and its Associated Person | 14 May 2020 | £27,500 | Sanction on Richers Securities Investment Consulting Co., Ltd. and its Associated Person for Violation of Regulations | Notice |
| Concord Futures Corp. Sanctioned | 18 Nov 2016 | £27,000 | Concord Futures Corp. Sanctioned for Violation of Laws and Regulations Governing Futures Business | Notice |
| Disciplinary Procedures Against Asia Pacific International Securities Investment Consultant Co., Ltd in Violation of Money Laundering Control Act | 8 Jan 2021 | £25,000 | Disciplinary Procedures Against Asia Pacific International Securities Investment Consultant Co., Ltd in Violation of Money Laundering Control Act | Notice |
| Fines Against the Person Responsible for the Act of Shin Tai Industry Co., Ltd. | 27 Oct 2025 | £24,000 | Fines Against the Person Responsible for the Act of Shin Tai Industry Co., Ltd. | Notice |
| Sanction on Taishin Securities Co., Ltd | 31 May 2024 | £24,000 | Sanction on Taishin Securities Co., Ltd. for Violation of Securities Management Related Laws and Regulations | Notice |
Amounts are normalised to GBP for comparison.