| 2022-08-02 | regulatory | ACCORDING TO THE PRESS RELEASE ON THE WEBSITE OF THE FINANCIAL SUPERVISORY COMMISSION, CDFH WAS FOUND DEFICIENCIES IN THE FINANCIAL EXAMINATION. CDFH WAS FOUND UNSATISFACTORY CORPORATE GOVERNANCE, INSUFFICIENT INTERNAL CONTROLS, AND INADEQUATE MANAGEMENT TO SUBSIDIARIES. THE RELATED DEFICIENCIES ARE… | Final | $650K |
| 2017-01-10 | regulatory | CHINA DEVELOPMENT FINANCIAL CORPORATION ("CDF") DID NOT SUPERVISE WELL ITS SECURITIES SUBSIDIARY TO DISCLOSE THE CONFLICTS OF INTEREST OF INTERLOCKING DIRECTORS AND PROHIBITED THEM TO VOTE WHEN SUCH SECURITIES SUBSIDIARY WAS CONDUCTING THE INVESTMENT TO ITS OVERSEAS SUBSIDIARY. | Final | — |
| 2016-10-26 | regulatory | CDIB CAPITAL GROUP ("CDIB"), FAILED TO GET GOVERNMENT APPROVAL PRIOR TO ITS INVESTMENT IN CHINA. | Final | $2K |
| 2015-12-10 | regulatory | CHINA DEVELOPMENT FINANCIAL CORPORATION ("CDF") WAS IN VIOLATION OF ROC REGULATIONS GOVERNING SHARE REPURCHASE | Final | $8K |