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Human Rights Policy and Commitment

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:

Protection of Human Rights in the Workplace

The Company prohibits child labor, discrimination, sexual harassment and other human rights violations, promotes diversity and equality, seeks to employ above the required number of employees with physical and mental disabilities, and provides employees with indigenous status the right to take time off during distinct tribal festivals in accordance with the law, in order to create a diverse, open, and equal work environment which is free from discrimination and harassment.

In addition, in order to build a gender-equal workplace and to protect human rights of employees in the workplace, the Company pays attention to gender and workplace diversity issues and has set gender representation targets and short-, medium- and long-term plans at employee level and by management level to promote gender balance with practical actions. In 2021, the average percentage of female employees is 64.18% and the average percentage of female managers reached 53.32%.

Implementation of Equal Pay for Equal Work

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.

Provision of a Healthy, Safe Workplace

The Company shall adhere to all relevant workplace safety and health laws, and shall provide a safe, healthy, and sanitary working environment through organizing safety and health work, education and training, employee health examinations, or various health promotion activities and employee assistance programs 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 achieve effective workplace safety management, the Company and its directly affiliated companies have established the “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 Human Factors Engineering Hazards.” Take maternity protection as an example. Upon knowing that an employee is pregnant, the Company conducts an assessment on the impact of her work on maternal health, tracks her risks at work, and strengthens workplace care and concern using the “Maternal Health Risk Assessment Form” to protect maternal safety and health.

Promotion of Labor-Management Relations

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.

Personal Data Protection

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.

Propagation of the Human Rights Policy

The Company encourages partners, including suppliers, to sign Human Rights and Environmental Sustainability Terms, and work together to pay attention to human rights issues and attach importance to the management of related risks.

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 2021, a total of 10,809 people participated in the courses with a total of 8,084 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
Human Rights Due Diligence

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.

Human Rights Due Diligence Process
Risk Identification
Risk Assessment
Risk Mitigation
& Compensation
Improvement
& Tracking
Periodic Review
  • Examine the relevant conventions and laws and regulations on human rights in Taiwan and from abroad, compile the list of issues with potential risk of human rights impact, and identify major issues of concern through quantitative analysis.
  • Discern the parties whom the potential risk of human rights impact will affect.
  • Assess the proportion of human rights risks for each major issue of concern.
  • Develop and implement risk mitigation measures for issues with potential human rights risks.
  • Plan and implement compensatory measures for issues that are impacted.
  • Confirm the implementation results.
  • Disclose the results of human rights due diligence.
  • Track the improvement of each potential issue risk.
  • Review risk assessment tools and processes to improve human rights due diligence mechanisms.
  • Review related procedures and management practices to continuously optimize the management of human rights risks.
Human Rights Risk Assessment and Management

Each year, the Company conducts a risk assessment of the potential issues of human rights risks faced by the targets of the assessment, and based on the results, formulates and adjusts subsequent management, mitigation, compensation, and improvement measures, and discloses the Company’s Human Rights Risk Assessment Management Table. In 2021, the Company incorporated 15 human rights issues including workplace inclusiveness, forced labor, human trafficking, child labor, sexual harassment, workplace abuse, work overtime, occupational safety management, personal data protection, employment and occupational discrimination, fair pay, employee health management, maternity protection, freedom of association, and expression of opinion in its human rights risk identification process. After further examination, the Company identified nine major issues of concern and carried out due diligence review to develop and implement risk mitigation measures as well as make plan for the execution of compensatory measures.

Human Rights Risk Assessment Management Table