Financial Holding Company Act Article 62

Commission of any of the following acts shall be punishable by a fine of not less than one million New Taiwan Dollars (NT$1,000,000) and not more than twenty million New Taiwan Dollars (NT$20,000,000):1. Violation of the proviso in Paragraph 4 of Article 36 herein or Paragraph 2 of Article 37 herein by making an investment without approval;2. Violation of Paragraph 5 of Article 36 or Paragraph 7 of Article 37 herein by failing to make adjustment within the period of time prescribed by the competent authority; or violation of Paragraph 7 of Article 36 herein where the responsible person or employee [concurrently] acting as managerial personnel of enterprises in which the venture capital subsidiary invests;3. Violation of Paragraph 8 of Article 36 herein by undertaking capital decrease without the approval of the competent authority;4. Violation of Paragraph 1 of Article 37 herein by making an investment without the approval of the competent authority, or having itself or its representative acting as the director or supervisor of the invested enterprise, or designating a person to be the managerial personnel of such enterprise;5. Violation of Paragraphs 3, 4, or 5 of Article 37 herein by exceeding the investment limit or the restriction on shareholding; and6. Violation of Paragraphs 1, 2, or 4 of Article 68 herein by failing to report, apply for permission, adjust the shareholding, or apply for approval.