Date the fine was imposed: June 11, 2021 2. Recipient of the fine: SunMax Biotechnology Co., Ltd. 3. Legal basis of the fine: Paragraph 3 of Article 14 of the Securities and Exchange Act, and Article 3 of the Regulations Governing the Qualification Requirements and Professional Development of Principal Accounting Officers of Issuers, Securities Fir
2021-06-11
1. Date the fine was imposed: June 11, 2021
2. Recipient of the fine: SunMax Biotechnology Co., Ltd.
3. Legal basis of the fine: Paragraph 3 of Article 14 of the Securities and Exchange Act, and Article 3 of the Regulations Governing the Qualification Requirements and Professional Development of Principal Accounting Officers of Issuers, Securities Firms, and Securities Exchanges.
4. Facts of the violation and reasons: The financial statement for 2021 Q1 presented upon regulatory filing by SunMax Biotechnology Co., Ltd. was not signed or sealed by the accounting manager required under Article 3 of the Regulations Governing the Qualification Requirements and Professional Development of Principal Accounting Officers of Issuers, Securities Firms, and Securities Exchanges, pursuant to Paragraph 3 of Article 14 of the Securities and Exchange Act. Accordingly, it should be held violating said requirements.
5. Resulting fine: Sentenced to the fine, NT$240,000, in accordance with Paragraph 1(2) of Article 178 and 179 of the Securities and Exchange Act
2. Recipient of the fine: SunMax Biotechnology Co., Ltd.
3. Legal basis of the fine: Paragraph 3 of Article 14 of the Securities and Exchange Act, and Article 3 of the Regulations Governing the Qualification Requirements and Professional Development of Principal Accounting Officers of Issuers, Securities Firms, and Securities Exchanges.
4. Facts of the violation and reasons: The financial statement for 2021 Q1 presented upon regulatory filing by SunMax Biotechnology Co., Ltd. was not signed or sealed by the accounting manager required under Article 3 of the Regulations Governing the Qualification Requirements and Professional Development of Principal Accounting Officers of Issuers, Securities Firms, and Securities Exchanges, pursuant to Paragraph 3 of Article 14 of the Securities and Exchange Act. Accordingly, it should be held violating said requirements.
5. Resulting fine: Sentenced to the fine, NT$240,000, in accordance with Paragraph 1(2) of Article 178 and 179 of the Securities and Exchange Act
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Update：
2021-12-13