FSC Imposes Regulatory Sanction on Investment Trust Subsidiary — Explanation Filed
Original: 國泰金控代子公司國泰投信公告受金管會裁罰案說明
Summary
Cathay Financial Holdings filed this disclosure on behalf of its subsidiary Cathay Securities Investment Trust (Cathay SITE), providing an explanation of a penalty action taken by Taiwan's Financial Supervisory Commission (FSC). Regulatory sanctions from the FSC can carry fines, operational restrictions, or reputational consequences relevant to the group's asset-management franchise. Full body available on MOPS.
Full Translation
Cathay Financial Holdings Co., Ltd., acting on behalf of its subsidiary Cathay Securities Investment Trust Co., Ltd. (Cathay SITE), hereby discloses and provides an explanatory statement regarding a sanction/penalty case imposed by the Financial Supervisory Commission (FSC) of Taiwan. The parent company is making this filing as the disclosing entity in accordance with TWSE material-information rules that require the listed parent to publish on behalf of a non-listed subsidiary. The substance of the FSC sanction — including the nature of the violation, the specific penalty imposed, and any corrective measures or remediation plan — is detailed in the full announcement body. [Body not available — subject line only. See MOPS for full announcement.]