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Yuanta Financial Holdings recognizes and supports the spirit and basic principles of human rights protection as outlined in the United Nations Universal Declaration of Human Rights, the United Nations Global Compact, and the International Labour Conventions, and complies with the relevant labor laws and regulations of the Company’s locations.

In 2018, the Company established the Human Rights Policy of Yuanta Financial Holding Co., Ltd. (hereinafter: the Human Rights Policy), which applies to its subsidiaries. In the Human Rights Policy, the Company is committed to respecting and safeguarding basic human rights that are internationally recognized. The Company also opposes any discrimination and human rights violations (e.g., sexual harassment or workplace bullying) and complies with relevant labor laws and regulations to protect the legal rights of employees. The Company has adopted the Human Rights Policy as the highest guiding principle for human rights protection and has instituted relevant human resources regulations and systems in accordance with its contents and laws and regulations. For example, the Company has formulated “Work Rules” to protect employees’ rights and interests; designated “Guidelines for Workplace Sexual Harassment Prevention, Complaint, and Disciplinary Treatment”, and “Prevention Plan for Unlawful Acts of Assault in the Performance of Duties”, and set up a dedicated telephone number and email address for reporting to provide a working environment free from discrimination and harassment; and stipulated “Guidelines for Overtime Management for Employees” and formed a working time management and reminder mechanism in the system to remind employees to pay attention to the work-life balance. The relevant rules and regulations are announced on the Company’s intranet site.

The main contents of the Human Rights Policy are as follows:

The Company prohibits human rights violations including employment of child labor, discrimination, and sexual harassment, seeks to employ more employees with physical and mental disabilities than the statutory requirement, provides employees with indigenous status the right to take time off during distinct tribal festivals in accordance with the law, and has set gender ratio targets and short-, medium- and long-term plans at employee level and different management levels. In 2022, the average percentage of female employees is 63.87% and the average percentage of female managers reached 53.98%. The Company promotes gender balance and aims to create a work environment with diversity, equity and inclusion (DEI) through concrete actions.

In addition to not treating employees differently based on gender or sexual orientation, the Company continues to monitor issues related to the gender pay gap and fulfills its corporate social responsibility.

The Company shall adhere to all relevant workplace safety and health laws, and shall provide a safe, healthy, and sanitary working environment through organizing various safety and health work, education and training, employee health examinations, health promotion activities and employee assistance programs (EAPs) to care for the physical and mental health of employees, improve and enhance the safety and health conditions of the workplace, and reduce the risk of occupational hazards.

In order to implement effective workplace safety management, the Company and its directly affiliated companies have established “Prevention Plan for Unlawful Acts of Assault in the Performance of Duties”, “Workplace Maternal Health Protection Plan”, “Prevention Plan for Disease Triggered by Abnormal Workload”, and “Prevention Plan for Ergonomic Hazards”. Take maternity protection as an example. Upon knowing that an employee is pregnant, the Company begins the procedure for managing maternal health protection and conducts an assessment on the impact of her work on maternal health, tracks her risks at work, and strengthens workplace care and concern to protect maternal safety and health.

The Company provides diversified and smooth channels of labor-management communication and holds regular labor-management meetings to discuss issues of employee rights and welfare in order to protect employees’ rights and interests, promote labor-management harmony, enhance labor-management relations, and create a friendly workplace environment.

The Company shall abide by the laws and regulations related to the protection of personal data, ensures that the collection, processing, and use of personal data comply with the laws and regulations, in order to protect and safeguard the rights and interests of personal data.

The Company encourages partners, including suppliers, to sign the “Human Rights and Environmental Sustainability Terms”, joining us in committing to the care of human rights issues and to place importance on risk management.

From 2018, the Company has promoted education and training on sexual harassment prevention to educate employees on how to prevent and respond to sexual harassment in the workplace, and further incorporated the promotion of human rights and labor rights-related issues in 2020 by launching education and training courses for a safe workplace to enhance employees’ awareness and attention to the above issues. In 2022, a total of 11,801 people participated in the courses with a total of 9,108 training hours.

Human Rights Policy

The Company publicly declares its commitment to respect and protect human rights by taking practical actions to realize the Company’s responsibility to integrate the principles and spirit of human rights into its corporate values and culture as part of its commitment to human rights protection.

Human Rights Declaration

In order to implement the Human Rights Policy, the Company has established a human rights due diligence process to identify the potential issues of human rights risks and discern the affected parties each year. The Company conducts risk assessments, formulates and implements risk mitigation measures based on the assessment results, and plans and implements compensatory measures for actual human rights impacts, and then discusses and continuously tracks improvements to effectively control and reduce human rights risks and achieve management goals.