Concord Securities : It was announced that the plaintiff filed a civil lawsuit against the company for damages, and the company had won the first instance.
It was announced that the plaintiff filed a civil
lawsuit against the company for damages, and the company
had won the first instance.
Date of events
2022/03/22
To which item it meets
paragraph 2
Statement
1.Parties to the legal matter:
Plaintiff:Huei-X, Huang、Liang-X, Lin
Defendant: The Company and former securities specialist.
2.Name of the court or punishing agency of the legal matter:Taiwan Chiayi
District Court.
3.Reference/Case number of relevant documents of the legal matter:No.566 of
Su for Year of 110 of Taiwan Chiayi District Court.
4.Date of occurrence of the event:2022/03/22
5.Details of occurrence (including the matter under dispute):The plaintiffs
claimed that the former securities specia list of the company, intended to do
illegal interests for himself and failed to conduct stock trading as
entrusted by the plaintiffs. In the case, the prosecutor's office of Chiayi
District Court pleaded that the former securities specialist violated the
crime of breach of trust and filed a public prosecution. Since the plaintiffs
acknowledged that the former securities specialist was a securities
specialist of the company at the time of the criminal act,so the employer
shall be jointly liable to make compensation for any injury which the
employee has wrongfully caused to the rights of another in the performance
of his duties,Taiwan's Chiayi District Court ruled that the company won
all the first-instance cases.
6.Handling procedure:Taiwan Chiayi District Court announced The Company
prevailing in this action.
7.Impact on the Company's finance and business and projected amount:The
finance and business of the Company were not affected by this matter.
8.Countermeasures and improvement status:N/A.
9.Any other matters that need to be specified:N/A.
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Disclaimer
Concord Securities Co. Ltd. published this content on 22 March 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 22 March 2022 09:19:02 UTC.
Concord Securities Co., Ltd. is a Taiwan-based security company. The Company operates its businesses through six segments. Brokerage Segment is mainly engaged in securities trading, futures assistant services and overseas funds for sale. Underwriting Segment is mainly engaged in providing assistance services to listed companies and providing relevant planning and consulting services. Proprietary Segment is mainly engaged in trading securities by itself. Bond Segment is mainly engaged in bond trading and bond investment advisory services. New Financial Commodities Segment is mainly engaged in the issue and purchase of warrants, structured notes and other derivative instruments. Wealth Management Segment is mainly engaged in financial consulting and financial planning services. The Company operates its businesses primarily in Taiwan.
Concord Securities : It was announced that the plaintiff filed a civil lawsuit against the company for damages, and the company had won the first instance.
CONCORD SECURITIES CO., LTD. 
