Date of announcement  2015/08/04
Time of announcement  19:24:17
 
Date of events  2015/08/04  To which item it meets paragraph 39
Statement 
1.Date of occurrence of the event:2015/08/04
2.Circumstances of the violation:
The FSC discovered a deficiency in the process that KGI Securities acted as a participating dealer for ”W.I.S.E. SSE 50 China Tracker” during 2015/1/6 to 2015/1/9.
3.Status of the disposition by said competent authority: Corrective measure order
4.Intended remedial measures: With respect to the discovered deficiency, KGI Securities will implement an improvement plan.
5.Effect on the Company’s business operations:None
6.Any other matters that need to be specified:None