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Yuanta Securities – Products and Services
Brokerage Business

Yuanta Securities’ brokerage business has developed from a primary focus on Taiwanese stocks into a comprehensive product line, including stock trading, short selling and margin trading, sub-brokerage, wealth management, non-restricted lending, securities borrowing and lending, systematic investment plans, domestic and foreign futures and options, and other diversified financial services.

In addition to its deep cultivation of the Taiwanese stock brokerage business, Yuanta Securities led the industry in developing and promoting stock secured loans, securities borrowing and lending, regular and fixed volume share purchase, and other innovative business areas. Yuanta has also continued to develop its wealth management business, expanding both the breadth and depth of its financial services to remain an industry leader. To effectively meet the coming of the digital age in finance, Yuanta has actively developed its digital investment platform, including its mobile apps Wan-Shi-Tong, Mobile Lending, Mobile Securities Lending, and Wealth Creation. By coordinating with the expansion of Yuanta’s various wealth management services, these digital tools have helped to increase operational efficiency, achieving major operational value for Yuanta through both physical and virtual channels.

Yuanta Securities has the largest securities branch network in Taiwan and has completed its transition into a fully integrated brokerage. Yuanta’s sales staff are equipped with relevant professional licenses and thorough knowledge of the Company’s products, and are supported by a dedicated research team and a user-friendly digital finance service platform providing customers with real-time, comprehensive global investment news.

Investment Banking

Yuanta Securities' investment banking business is guided by the needs of its clients, providing long-term development strategies and financial consulting, with an operational strategy (including IPO, SPO, FA) that gives equal weight to quality and quantity, as well as acting as a sector banker to provide customers with comprehensive financial solutions, and actively seeking financial consulting opportunities, including for IPOs, mergers, demergers, acquisitions, and privatization, giving clients vital behind the scenes support on the capital markets. Yuanta investment banking also offers a comprehensive range of financial services which are customized, diversified, and integrate Group resources to create unique business opportunities and increase customer loyalty. Additionally, with the Company's strengthening in recent years of its offshore securities unit (OSU), it has actively participated in international underwriting and financing business.

Reacting to changes in the global capital markets, Yuanta Securities has rapidly grown its presence in other Asian markets, including establishing locations in Hong Kong, Korea, Vietnam, Indonesia, Thailand, and Cambodia, as well as participating in the IPOs and international placement of Chinese stocks and international enterprises, financial consulting, and international financing, with the hopes of broadening and deepening the products and services offered by the IB division. Yuanta Securities' investment banking team has international-level investment banking experience, and long-term relationships with international, Chinese, and Taiwanese institutional investors, helping its clients to more effectively evaluate, attract, and select suitable investors. In recent years, more than half of the financial consulting cases taken by Yuanta Securities have been related to overseas business, providing domestic and international business services to both Taiwanese and foreign firms, with experience in regions ranging from China to North America and Europe.

Yuanta's investment banking business has been a long-time leader in both market share and ranking, and possesses experience and ability in a variety of case types; the team's professionalism and efficiency have gained the trust and affirmation of their clients, and earned the Company a strong brand reputation. Yuanta Securities' diverse innovations in its investment banking business have also been recognized by numerous international financial industry publications such as Euromoney, FinanceAsia, and Asiamoney as "Taiwan's Best Investment Bank" and "Taiwan's Best ECM House".

Whether in IPO, SPO, or FA cases, Yuanta Securities maintains the principle of tight risk control and careful case selection, deepening and integrating the Group's resources and competitive advantages. Through its integrated platform, and with the cooperation of investment channels from a variety of regions, Yuanta seeks to maximize the efficiency of each of its cases. And by cultivating international markets and expanding synergies, the Company provides its clients with a comprehensive range of capital and strategic planning.

Derivative Products

Yuanta Securities has long been guided by the concept of creating wealth for its investment clients, and by actively cultivating the derivative financial products market and constantly seeking out innovation, it has maintained industry-leading positions in equity derivatives, structured products, convertible bond asset swaps, and interest rate derivative products.

Yuanta has also been a long-term participant in the warrants market, and holds the top industry ranking for categories ranging from number of warrant issuances and warrant trading to stock volume and investor preference. The Company has been awarded with a number of honors from the Taiwan Stock Exchange, including Top Securities Company for Consigned Trading, Most Warrants Issued, and Top Performing Warrants Issuer.

Yuanta has also been a driving force in terms of product innovation, including being the issuer of the first warrant in Taiwan, the first securities firm to issue a warrant in Singapore, the first issuer of callable bull/bear contracts and extendable callable bull/bear contacts, the only firm to link a warrant’s underlying instrument to the commodity market (spot gold price). In each of these instances, Yuanta led the industry in providing diversified products, giving investors the opportunity to pursue a wider range of financial strategies.

Yuanta Securities was honored by The Asset magazine as the Best Warrants House in 2010, and as the Best Equity Derivatives House in 2013, 2014, 2016 and 2017, representing a major step forward for Yuanta’s team in achieving its goal of “local service, international recognition”.

Fixed Income

In terms of underwriting amount and number of issuances, Yuanta Securities consistently ranks at the top of the fixed income market. Yuanta is a leader in underwriting asset securitized deals as a top CBO dealer in the industry. Yuanta's fixed income market highlights are as follows:

  • A leader in domestic corporate bonds and financial debentures underwriting volume
  • The leader in convertible bond asset swaps and convertible bond swap options volume
  • The first to receive approval from Taiwan’s central bank to issue RMB structured products
  • The lead underwriter on the first Formosa Bond issuance
  • Major issuer of FCY fixed income products (conditional and guaranteed structured products, etc.)

Yuanta Securities has also received recognition from renowned international publications such as FinanceAsia, The Asset, and Asiamoney for its influence in Taiwan’s market. Awards won include Best Bond House, Investors' Choice for Primary Issues in Asian Currency Bonds - Corporate Bonds, No. 1 for Best Individuals in Taiwan Dollar Bonds, among others, thoroughly demonstrating the Yuanta Securities’ Bond Department’s comprehensive abilities and leading performance in the field of fixed income products.

Institutional Brokerage

Yuanta Securities has been a long-term participant in the FINI business, with a team whose members average more than 20 years of experience. In addition to strong execution and sales abilities, Yuanta has Taiwan’s largest investment consulting research team, with deep experience in large, mid, and small-cap stocks, and a total coverage of about 150 Taiwanese listed companies, ensuring that our international clients have a clear grasp of the companies’ status as well as any changes in the market. Yuanta also provides top-quality Taiwan stock roadshows, customer visits, telephone meetings, pairs trading, block trading, and research services, and combined with Yuanta Investment Consulting and Yuanta Funds’ services in ETFs, underwriting, futures and options, structured products/notes, securities borrowing/lending, and custodian banking services, the Company offers a truly diverse product portfolio and services to directly connect foreign institutional investors with the Taiwanese market. Currently, Yuanta Securities has more than 7,300 FINI clients.

In terms of electronic business, Yuanta is the only Taiwanese securities firm to cooperate with sixteen international electronic business platforms, providing clients with convenient order placing services. In 2016, Yuanta built high-speed trading entrance and colocation (colo) services, satisfying the requirements of high-speed trading and high-speed/high-stability client groups. Yuanta also provides a wide range of SBL products and services to satisfy investors with directional, bull/bear, hedging, and arbitrage trading needs. In 2017, Yuanta’s negotiated lending market share was approximately 35%, putting it far ahead of industry peers. Furthermore, through human resources and management of supply and demand, Yuanta not only increases liquidity on the SBL market, but also effectively creates profit for clients of different investment profiles.

In addition to cultivating the Asia-Pacific Region, Yuanta has been actively developing in the markets of Europe, America, and the ASEAN nations, and is one of a small number of Taiwanese brokerages possessing a broad layout of international locations. Yuanta’s professionalism has also won the affirmation of institutional investors, who have named it Taiwan’s Best Local Brokerage for three consecutive years in Asiamoney magazine’s institutional investor poll, as well as other awards including Best Execution, Best in Sales Trading, Best Overall in Sales Services, Best Events and/or Conferences, and Best Roadshows and Company Visits among Taiwanese brokerages.

Yuanta is committed to providing services with professionalism and dedication, and by fully integrating the Group’s considerable resources, continues to be Taiwan’s best partner for foreign institutional investors.

International Finance

Yuanta Securities' international finance business provides comprehensive advisory and product trading services to both domestic and foreign investors. In the consigned trading of foreign securities business, including foreign stocks, ETFs, preferred shares, REITs, bonds, offshore structured products, and foreign IPOs, as well as an integrated OSU platform offering international financial products (including unapproved funds), funds and securities custodial accounts, and stock secured loans, Yuanta meets a full range of investment needs for both domestic and foreign investors.

With the growth of overseas trading, the international finance business offers foreign product information and private wealth management services that achieve high diversification in both product investments and customer types. With service targets including domestic and international institutional and private investors, and client types including banks, insurance companies, investment trusts, and government funds, the international finance business also serves as a bank trust and professional brokerage.

Our trading platform provides 24-hour international trading and quotation services, with a coverage range extending to the quotation systems of 27 exchanges in 19 countries worldwide. In terms of foreign currency settlement services, we provide investors with settlement services in NTD, original, and non-original currencies, help investors utilize accounts for consigned trading of foreign securities, use Renminbi to buy A-shares, and use Hong Kong Dollars, US Dollars, Euros, and Japanese Yen for purchases on the markets of the USA, Hong Kong, Japan, Korea, Singapore, the United Kingdom, and Germany among others, assisting our clients in making the asset plans and investment arrangements most beneficial to them. By providing investors with computer applications, a clear and simple webpage, smart mobile order placement, and order placement via telephone, among other means, helping our clients to meet their foreign consignment trading needs in a way that is simple, fast, and convenient.

Additionally, in terms of foreign investment information services, Yuanta has integrated its professional research teams in Taiwan, Hong Kong, and China, as well as partner foreign investment firms and ETC issuers, to hold occasional international visits, investor roadshows, explanatory meetings and topical lectures, among other activities. The company also utilizes its Wan-Shi-Tong app, video content, and digitized services, keeping investors keep up to date on the latest global investment news, popular industries, and individual stock information, and helping them to make the best possible investment plans and decisions.

Yuanta Securities upholds the operational concept of "local living, and global investing", and with both gratitude and sincerity work to enhance the professional standards of our international investment business and service quality, as we work towards our mission of achieving top-level customer satisfaction and investment returns.

Strategic Trading

As Taiwan’s leading brokerage in futures and options product market making, and as the largest liquidity producer for Taiwanese ETFs, Yuanta is active in providing the market with accurate quotation and liquidity services. In addition to being the long-term industry leader in terms of market share, Yuanta has achieved profitability year after year, with performance numbers that consistently outrank our peers.

Current business areas include market making for futures and options products, ETF market making, and strategic trading between futures, options, and spot; underlying instruments coverage includes not only domestic and international products, but also the leveraging of technical advantages and reproduction of successful experiences in underlying instruments such as domestic and international indexes, precious metals, commodities, exchange rates and interest rates, as Yuanta seeks to develop into a comprehensive, world-class market maker.

In terms of proprietary trading in domestic and international futures and stocks, Yuanta’s business philosophy and distinguishing characteristic are its inter-disciplinary approach, involving the integration of financial and technical talent, allowing us to perform analysis and backtesting on large quantities of historical data and develop trading strategies that deliver stable profits. In more practical terms, Yuanta’s trading activity also makes use of its self-developed automatic trading platform, which brings major advantages such as high speed, efficiency, and flexibility. This program trading achieves a high degree of automation, sharply reducing the need for human judgment as it pursues maximized results in terms of performance and profit.

In a further step to disperse risk and maintain growth, for many years Yuanta has employed numerous trading strategies including arbitrage trading, spread trading, day-trading, and directional trading, thereby effecting continual growth in the underlying market, not only in Taiwan, but also in other Asian markets with overlapping trading periods which have become a major focus of our development, such as Japan, Hong Kong, and Singapore, as well as overnight trading in the American market.

Recent years have brought rapid developments in technological fields including fintech, big data, and artificial intelligence, and Yuanta has moved to utilize these emerging technologies in its trading operations to optimize and automate the management of its trading procedures and strategies. Into the future, Yuanta’s passion for trading will drive us to continue developing these technologies and utilizing them our trading decisions, making a name for ourselves as the domestic leader in this field.

Overseas Business

The developmental focus of Yuanta’s offshore business is utilizing its Hong Kong operations to link the markets of Taiwan, Shanghai, and Hong Kong, serving as the core of our platform in the Greater China Region, as well as extending north to Korea and south to Vietnam, Indonesia, Thailand, Cambodia, and the markets of other ASEAN member nations, making use of the market characteristics and capital advantages of each location to build a pan-Asian platform for trading, wealth management, financing, and business operations. In doing so, Yuanta will provide its customers with international financial products and services, and provide various customer groups with an even wider range of financing options and investment product lines and an even broader financial outlook.

Digital Finance

Yuanta Securities is committed to innovation in its product services, and has therefore built a 24-hour digital finance circle. In order to effectively respond to the competent authorities’ “Digital Finance 3.0” policy, Yuanta has successively introduced a mobile innovation platform, including functions for online account opening, trading management, and integrating new business types such as mobile lending, mobile securities lending, and underwriting, creating a one-stop, full-service financial product platform for investors.

Nor has Yuanta spared any effort in terms of technological innovation: by integrating biometric and intelligent robot technology, developing dual iOS/Android fingerprint login services, Apple Watch stock quotes and order placement services, as well as robot video account opening services and other cutting-edge technologies, Yuanta has won multiple fintech patents. At the same time, Yuanta has enhanced its information security, providing a stable, secure trading environment, and will continue to develop new service technologies, staying on the front lines of digital innovation.

Yuanta’s electronic trading market share has led the industry for many years, and with a large margin, clearly demonstrating investors’ preference for our services, which have also been recognized with numerous awards, including the Industrial Development Bureau's Digital Content Award, Wealth Magazine’s Best Fintech Innovation and Best Digital Brokerage awards, the top industry ranking in CommonWealth Magazine’s Digital Life Survey, and Business Next’s Benchmark Finance/Investment Company in Digital Services award.

Reg. & Transfer Services

Yuanta has long prided itself on professionalism and the provision of comprehensive services to its shareholders. Because of the large scale of its stock transfer and registrar department, and their depth of experience in a wide range of cases, as well as our industry-leading brokerage market share, consignment trading performance, and equity planning experience, Yuanta’s registrar services rank second in the industry.

To enhance our services for shareholders and customers, Yuanta holds stock service forums on a periodic basis every year, as well as additional occasional forums, and invites industry professionals to provide in-depth information relevant to stock service regulations and to share their professional experience. These forums have received highly positive feedback from our customers for the breadth of their content. Additionally, Yuanta provides daily, weekly, monthly reports by email to update clients on regulations and stock service related news, helping clients stay informed while also strengthening their relationship with the Company.

In recent years Taiwan’s domestic securities market has steadily diversified, while the competent authorities have introduced new products and systems to spur the markets. Yuanta’s stock services and registrar department has also entered new business areas; through our strong communication with the competent authorities, Yuanta took the lead by becoming the first firm to lead a foreign company through an IPO in Taiwan, in addition to achieving several other industry firsts. With a consistently active approach to business and a commitment to providing the best professional services, Yuanta works with its customers and clients to find solutions beneficial to all.

Wealth Management

Although securities firms have been comparatively slower than banks in entering the wealth management business, from an investment standpoint, Yuanta Securities has always been actively engaged in investment allocation related business areas. Since entering into the wealth management business, the company has demonstrated strong potential and competitive advantages; the reasons for these advantages over industry peers include the following:

  • Research team strength: localized research capable of accurately grasping global market conditions.
  • Customer-oriented, innovative services: with personalized investment plans, Yuanta provides clients with superior after-sales services.
  • Market insight and foresight: the ability to predict and quickly react to changes on the market puts Yuanta a step ahead of its peers in seizing profit opportunities.

In addition, Yuanta Securities' wealth management business has integrated the resources of multiple departments to provide its clients with professional investment planning and comprehensive after-sales services. By fulfilling its clients' needs as a one-stop investment service provider, as a product source Yuanta is able to offer a unique perspective and accurate judgment, carefully helping its clients select financial products with the goal of increasing the value of their assets.

Yuanta Securities’ wealth management business has received affirmation from investors since its establishment, and since 2014 has won Business Today’s Best Wealth Management Brokerage award for three consecutive years, in addition to the Best Wealth Management Brokerage award from Wealth Magazine in 2016 and 2017.

Business Today Banking and Securities Wealth Management Evaluation

  • 2016: Best WM Brokerage, Best Digital Innovation, Professionalism Award
  • 2015: Best WM Brokerage, Best Services, Best Digital Development
  • 2014: Best WM Brokerage, Best Financial Management Team

Wealth Magazine Wealth Management Awards

  • 2017: Best WM Brokerage, Best Brokerage Services, Best Financial Management Team, Most Customer Recommendations, Best Video Marketing
  • 2016: Best WM Brokerage, Best Financial Management Team, Best Potential