Cumulative demerit points imposed by TPEx on securities firms and handling status in the most recent year up to February 28, 2021 (March 1, 2020 - February 28, 2021).

Cumulative demerit points imposed by TPEx on securities firms and handling status in the most recent year up to February 28, 2021 (March 1, 2020 - February 28, 2021).

Date: 2021/03/04

I. Names of recommending securities firms subject to imposition of demerit points, name of TPEx listing or Emerging Stock Board case involved and demerit points imposed (date of imposition):
1.Grand Fortune Securities Co.,Ltd: HEALTHCONN CORP. - 2 points (April 24, 2020)
2.First Securities Inc.: Art Emperor Technology & Culture Co., Ltd - 3 points (November 27, 2020)
II. Handling status: In accordance with Article 8 of the Taipei Exchange Regulations for Handling Deficiencies in an Assessment Report, Concluding Opinion, or Related Information Submitted by a Securities Firm, disciplinary actions may be taken based on the accumulated demerit points imposed by the competent authority, Taiwan Securities Association, Taiwan Stock Exchange and Taipei Exchange.