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其他委員會 其他委员会 Committees

The Audit Committee is to be comprised of only independent directors and not have less than three members of which one shall be the committee chair. At least one member must have expertise in accounting or finance. The term of office for a committee member is to be the same as that of independent director. If the number of independent directors is not adequate to comply with the minimum of three, there must be a shareholder meeting held within 60 days, at which time the appropriate numbers of independent directors will be elected to fulfill the requirement.

At its 2019 Annual General Meeting, the Company elected four independent directors, who comprise the current membership of the Audit Committee, which is convened by Independent Director Ming Ling Hsueh. The Audit Committee meets at least once every month, as well as holding additional meetings when necessary.

The Audit Committee, comprising independent directors only, is set up to improve Yuanta FHC’s internal mechanism and assist the Board of Directors in enhancing corporate governance performance. The committee is viewed as the most important functional committee for Yuanta FHC’s Board of Directors. The Audit Committee formulates the “Annual plan for events and agenda” in accordance with Yuanta FHC’s mid-term and long-term development strategies every year, setting out key targets for execution of annual strategies for the Board of Directors. The major annual tasks include review and discussion of Yuanta FHC’s annual operational and strategic plans, corporate governance related affairs, financial reports, internal audit affairs, and risk management. The Audit Committee and Board of Directors operate based on the plan and review its effectiveness each year.

Primary Objectives of the Audit Committee

1. Express opinions on the financial statements
2. Confirm the independence of the company's auditors
3. Ensure measures for internal control are applied
4. Company compliance with relevant rules and regulations
5. Control of existing and potential risks

Audit Committee Charter Operation of the Audit Committee
審計委員會委員 审计委员会委员 Audit Committee Members
Ming Ling Hsueh
Independent Director(Convener)
Master's in Accounting, Soochow University / MBA, Bloomsburg University of Pennsylvania
經歷 经历 Experience
  • Yuanta Bank, Independent Director
  • LITE-ON Technology Corp., Independent Director
  • Walsin Lihwa Corp, Independent Director
  • TTY Biopharm, Independent Director
  • Taiwan Corp. Gov. Assoc., Executive Director
  • PwC Taiwan, Director
  • Tsing Hua University, Adjunct Professor
  • National Taiwan University of Science and Technology, Adjunct Professor
  • R.O.C. Prof. & Tech. Examinations Committee, Member
  • Financial Literacy and Education Association, Chairman
Kuang Si Shiu
Independent Director
Master's Degree, University of Indiana
經歷 经历 Experience
  • Yuanta Bank, Independent Director
  • Mega FHC, Chairman, President
  • Mega Bank, Chairman, President
  • Hua Nan FHC, Chairman
  • Hua Nan Bank, Chairman
  • Land Bank, Chairman
  • Chiao Tung Bank, Executive Vice President, Manager, Deputy Manager
  • MoF Monetary Affairs Dept., Section Chief
  • MoF Taxation Administration, Assistant Auditor
  • Council for Economic Planning and Development, Researcher
Yin Hua Yeh
Independent Director
Ph.D. in Finance, National Taiwan University
經歷 经历 Experience
  • Chiao Tung University, Institute of Finance, Dept. of Information Management and Finance, Professor
  • Yuanta Bank, Independent Director
  • Yuanta Life, Independent Director
  • Stabilization Fund Management Committee, Member
  • National Development Fund, Committee Member
  • Taipei Exchange, Supervisor
  • Securities & Futures Institute, Director
  • Taiwan Insurance Guaranty Fund, Director
  • Taiwan Corp. Gov. Assoc., Executive Director
  • Financial Supervisory Commission, Commissioner
  • Special Committee on Corp. Gov. Reform, Committee Member
  • Financial Restructuring Fund, Valuation Panel Member and Vice Convener
  • Taiwan Stock Exchange, Resident Supervisor
  • Listed Company Review Committee, Member
  • Securities and Futures Investors Protection Center, Director
  • Securities Investment Trust & Consulting Assoc. of the R.O.C., Non-Member Director
  • Taiwan Corp. Gov. Assoc., Vice Chairman
  • Financial Research Development Fund, Member, Vice Chairman
  • Central Deposit Insurance Corp., Premium Rate and Failing Insurers Advisory Committee Member
Hsing Yi Chow
Independent Director
Ph.D. in Business, Indiana University
經歷 经历 Experience
  • National Chengchi University Department of Finance, Professor
  • Yuanta Polaris Securities, Independent Director
  • Taipei Exchange, Supervisor
  • Taiwan International Cooperation and Development Fund, Director
  • Uni-President Enterprises Corp., Independent Director
  • Polaris Securities, Independent Director
  • National Chengchi University, President, Dean, Associate Dean of College of Commerce, Chair of Dept. of Finance
  • Asian Finance Association, Vice President
  • Financial Restructuring Fund, Management Committee Member
  • Research, Development and Evaluation Commission, Member
  • Securities and Futures Investors Protection Center, Supervisor
  • Taipei Exchange, Director, Supervisor
  • Securities & Futures Institute, Director
  • Santa Clara University, Finance Assistant Professor

The members of the Remuneration Committee shall be all the independent directors of Yuanta Financial Holdings and shall consist of not less than three members, one of whom shall be elected from among themselves as the convener. The convener represents the Remuneration Committee externally. The members of the Remuneration Committee are appointed by the Nominating Committee after reviewing their qualifications and potential conflicts of interest and with the consent of the Board of Directors. The term of office of the members is the same as that of independent directors. If the number of independent directors is less than the number specified in the preceding description due to the dismissal of an independent director, a Board by-election shall be held within three months from the date of occurrence of the fact. In the event of any change in the membership, the term of office shall expire at the end of the original term. This committee shall be convened at least twice a year and may hold meetings at any time as necessary.

Primary Objectives of the Remuneration Committee

In its role assisting the board of directors to exercise the due care of a good administrator, the Committee shall loyally fulfill the following duties:

  1. Set and periodically review the board of directors and management’s performance evaluation and remuneration policies, systems, standards, and overall structure.
  2. Periodically evaluate and set remuneration policies for the Company’s directors and management.

Remuneration Committee Charter Operation of the Remuneration Committee
薪資報酬委員會委員 薪资报酬委员会委员 Remuneration Committee Members
Kuang Si Shiu(Convener)
Independent Director
Master's Degree, University of Indiana
經歷 经历 Experience
  • Yuanta Bank, Independent Director
  • Mega FHC, Chairman, President
  • Mega Bank, Chairman, President
  • Hua Nan FHC, Chairman
  • Hua Nan Bank, Chairman
  • Land Bank, Chairman
  • Chiao Tung Bank, Executive Vice President, Manager, Deputy Manager
  • MoF Monetary Affairs Dept., Section Chief
  • MoF Taxation Administration, Assistant Auditor
  • Council for Economic Planning and Development, Researcher
Ming Ling Hsueh
Independent Director
Master's in Accounting, Soochow University / MBA, Bloomsburg University of Pennsylvania
經歷 经历 Experience
  • Yuanta Bank, Independent Director
  • LITE-ON Technology Corp., Independent Director
  • Walsin Lihwa Corp, Independent Director
  • TTY Biopharm, Independent Director
  • Taiwan Corp. Gov. Assoc., Executive Director
  • PwC Taiwan, Director
  • Tsing Hua University, Adjunct Professor
  • National Taiwan University of Science and Technology, Adjunct Professor
  • R.O.C. Prof. & Tech. Examinations Committee, Member
  • Financial Literacy and Education Association, Chairman
Yin Hua Yeh
Independent Director
Ph.D. in Finance, National Taiwan University
經歷 经历 Experience
  • Chiao Tung University, Institute of Finance, Dept. of Information Management and Finance, Professor
  • Yuanta Bank, Independent Director
  • Yuanta Life, Independent Director
  • Stabilization Fund Management Committee, Member
  • National Development Fund, Committee Member
  • Taipei Exchange, Supervisor
  • Securities & Futures Institute, Director
  • Taiwan Insurance Guaranty Fund, Director
  • Taiwan Corp. Gov. Assoc., Executive Director
  • Financial Supervisory Commission, Commissioner
  • Special Committee on Corp. Gov. Reform, Committee Member
  • Financial Restructuring Fund, Valuation Panel Member and Vice Convener
  • Taiwan Stock Exchange, Resident Supervisor
  • Listed Company Review Committee, Member
  • Securities and Futures Investors Protection Center, Director
  • Securities Investment Trust & Consulting Assoc. of the R.O.C., Non-Member Director
  • Taiwan Corp. Gov. Assoc., Vice Chairman
  • Financial Research Development Fund, Member, Vice Chairman
  • Central Deposit Insurance Corp., Premium Rate and Failing Insurers Advisory Committee Member
Hsing Yi Chow
Independent Director
Ph.D. in Business, Indiana University
經歷 经历 Experience
  • National Chengchi University Department of Finance, Professor
  • Yuanta Polaris Securities, Independent Director
  • Taipei Exchange, Supervisor
  • Taiwan International Cooperation and Development Fund, Director
  • Uni-President Enterprises Corp., Independent Director
  • Polaris Securities, Independent Director
  • National Chengchi University, President, Dean, Associate Dean of College of Commerce, Chair of Dept. of Finance
  • Asian Finance Association, Vice President
  • Financial Restructuring Fund, Management Committee Member
  • Research, Development and Evaluation Commission, Member
  • Securities and Futures Investors Protection Center, Supervisor
  • Taipei Exchange, Director, Supervisor
  • Securities & Futures Institute, Director
  • Santa Clara University, Finance Assistant Professor

In order to reinforce the functionalities of the board and strengthen management mechanism, the Company Board approved to establish the Nominating Committee on January 23, 2019.The Nominating Committee shall be comprised of at least three directors selected by the board of directors of Yuanta Financial Holdings (Yuanta FHC), with half of them being independent directors. Committee members shall between them select one member to serve as Convener and Chairman, and represent the Committee externally. Members of the Committee shall be nominated by the Company’s chairperson, and shall be appointed following approval from the board of directors. The term of office for directors serving as nominating committee members begins from the day the said directors are selected as members by the board of directors and terminates on the day when the term of the said directors expires, the said directors resign from services as nominating committee members or directors, or the board of directors select new members to replace the said members. The nominating committee should hold a meeting at least twice a year, or at any time if necessary.

Primary Objectives of the Nominating Committee

The nominating committee operates under to the board of directors and is in charge of the following matters:

  1. Stipulating diversified and independent qualifications required of board members, including professional knowledge, skills, experience, and gender, and seek out, review, and nominate candidates of board members based on the qualifications.
  2. Establishing and developing the organizational structure of the board of directors and each committee.
  3. Formulating and regularly reviewing training programs for directors.
  4. Studying and amending the Company’s Corporate Governance Guidelines.
  5. Acting as the executive unit of the performance evaluation of the board of directors and various functional committees.


Nominating Committee Charter Operation of the Nominating Committee

提名委員會委員 提名委员会委员 Nominating Committee Members
Ming Ling Hsueh(Convener)
Independent Director
Master's in Accounting, Soochow University / MBA, Bloomsburg University of Pennsylvania
經歷 经历 Experience
  • Yuanta Bank, Independent Director
  • LITE-ON Technology Corp., Independent Director
  • Walsin Lihwa Corp, Independent Director
  • TTY Biopharm, Independent Director
  • Taiwan Corp. Gov. Assoc., Executive Director
  • PwC Taiwan, Director
  • Tsing Hua University, Adjunct Professor
  • National Taiwan University of Science and Technology, Adjunct Professor
  • R.O.C. Prof. & Tech. Examinations Committee, Member
  • Financial Literacy and Education Association, Chairman
Kuang Si Shiu
Independent Director
Master's Degree, University of Indiana
經歷 经历 Experience
  • Yuanta Bank, Independent Director
  • Mega FHC, Chairman, President
  • Mega Bank, Chairman, President
  • Hua Nan FHC, Chairman
  • Hua Nan Bank, Chairman
  • Land Bank, Chairman
  • Chiao Tung Bank, Executive Vice President, Manager, Deputy Manager
  • MoF Monetary Affairs Dept., Section Chief
  • MoF Taxation Administration, Assistant Auditor
  • Council for Economic Planning and Development, Researcher
Yin Hua Yeh
Independent Director
Ph.D. in Finance, National Taiwan University
經歷 经历 Experience
  • Chiao Tung University, Institute of Finance, Dept. of Information Management and Finance, Professor
  • Yuanta Bank, Independent Director
  • Yuanta Life, Independent Director
  • Stabilization Fund Management Committee, Member
  • National Development Fund, Committee Member
  • Taipei Exchange, Supervisor
  • Securities & Futures Institute, Director
  • Taiwan Insurance Guaranty Fund, Director
  • Taiwan Corp. Gov. Assoc., Executive Director
  • Financial Supervisory Commission, Commissioner
  • Special Committee on Corp. Gov. Reform, Committee Member
  • Financial Restructuring Fund, Valuation Panel Member and Vice Convener
  • Taiwan Stock Exchange, Resident Supervisor
  • Listed Company Review Committee, Member
  • Securities and Futures Investors Protection Center, Director
  • Securities Investment Trust & Consulting Assoc. of the R.O.C., Non-Member Director
  • Taiwan Corp. Gov. Assoc., Vice Chairman
  • Financial Research Development Fund, Member, Vice Chairman
  • Central Deposit Insurance Corp., Premium Rate and Failing Insurers Advisory Committee Member
Tony Shen
Director
經歷 经历 Experience
  • Yuanta FHC, Chairman, Vice Chairman, President
  • Yuanta Securities, Chairman, Director
  • Yuanta Sec. Asia Financial Services, Vice Chairman
  • Yuanta Securities (HK), Chairman
  • Yuanta Core Pacific Securities, President, EVP
Wei Chen Ma
Director
University of Southern California
經歷 经历 Experience
  • Yuanta Life, Vice Chairman, Director
  • Yuanta FHC, Chief Executive Vice President
  • Yuanta Bank, Vice Chairman, Director
  • Yuanta Core Pacific Securities, Director

In order to realize this Company’s corporate sustainable operation philosophy, solidly implement corporate governance, strengthen the board of directors’ administration of integrity management and put into practice corporate social responsibility (CSR), the board of directors resolved on November 28, 2018 to establish a sustainability committee. In accordance with the Sustainability Committee Charter, the sustainability committee shall be comprised of between three and seven directors of Yuanta FHC, of which at least half shall be independent directors; the committee members shall designate among themselves a convener of the committee. The members of this committee are appointed after being reviewed by the nominating committee their qualifications and potential conflicts of interest, with the consent of the board of directors. The term of office for the committee members shall be the same as that of the directors. If resignations or dismissals cause the total number of committee members to fall below three, the board of directors shall nominate new member(s) to meet the required minimum. The committee shall convene at least two meetings per year, and shall hold additional meetings as necessary.

To promote sustainable operation policies in the areas of integrity management and CSR, the committee shall establish a "Center for the Promotion of Integrity Management" and "Center for the Promotion of CSR," comprised of relevant personnel from the Company and its subsidiaries, responsible for the day-to-day promotion and coordination of their respective duties, and periodically reporting their work plans and implementation results to the committee.

Primary Objectives of the Sustainability Committee

The Sustainability Committee operates under the board of directors and is in charge of the following:

  1. Assisting in integrating the values of integrity management and CSR into the Company’s operational strategy.
  2. Adhering to legally mandated measures ensuring integrity management and implementing CSR.
  3. Supervising and implementing the Company’s integrity management and CSR policies, and evaluating the effectiveness of their execution.
  4. Other matters related to the formulation, supervision, and implementation of the Company’s integrity management and CSR policies.


Sustainability Committee Charter Operation of the Sustainability Committee
Integrity Management and Legal Compliance

“Integrity” has always been the Company’s operating philosophy, and integrity and ethical values are integrated into the Company’s business strategy. In accordance with the laws and regulations, the Company has formulated the Integrity Management Guidelines of Yuanta Financial Holding Co., Ltd. (hereinafter: Integrity Management Guidelines) and the Procedures for Integrity Management and Guidelines for Conduct of Yuanta Financial Holding Co., Ltd. (hereinafter: Guidelines for Conduct). Their scope of application covers all subsidiaries of the Company, foundations with direct or indirect donation funds by the Company in excess of 50% in aggregate, and other Group enterprises and organizations such as institutions or legal persons over which the Company has substantial control. The Integrity Management Guidelines and Guidelines for Conduct clearly regulate the matters that the directors of the board, managerial officers, employees, mandataries, and persons with substantial control of the enterprises and organizations within the above-mentioned scope shall pay attention to and the laws and regulations they shall comply with in the course of engaging in commercial activities and executing business. In 2019, the Company also promoted the signing of a “Declaration of Integrity” by directors of the board, supervisors, and senior management, and these personnel have committed to abide by the provisions of the above-mentioned guidelines. So far, there has been no violation.

The Company clearly prohibits unethical conduct and benefits in the Integrity Management Guidelines and Guidelines for Conduct, and establishes a risk assessment mechanism for unethical conduct. In addition to the preventive measures and closely linking the related regulations established by the Company (e.g., Professional Code of Ethics, Rules and Procedures of Board Meetings, Audit Committee Charter, Code of Practice for External Donations, etc.) to the relevant internal control regulations of the Company, so as to facilitate each department to comply with internal control and operating procedures, the general business audit conducted regularly by the audit department every year also incorporates relevant regulations of integrity management to ensure the implementation of the integrity management policy of the Company. If an employee of the Company is involved in unethical conduct or violates the integrity of the Company in serious circumstances, he or she will be dealt with in accordance with relevant laws and regulations or the Company’s personnel policy compliant with the Guidelines for Conduct. No violations occurred in 2019. The Company conducts its business activities in a fair and transparent manner. When establishing business relationships with others, a plan shall include prior evaluation of the legality of business partners, their integrity management policies, and whether there has been a record of unethical conduct. The Company refrains from engaging in business transactions with parties involved in unethical conduct. When entering into a contract with another party, the Company shall fully understand the integrity management status of the contracted party, and shall include in the contract the terms of integrity management and related matters (such as the prohibition of accepting commissions, rebates, or other improper benefits). In addition, the Company conducts post-purchase evaluations of the suppliers it has cooperated with to understand their compliance with the Company’s integrity management regulations, which shall be included as one of the references for future dealings with such suppliers.

In order to establish a corporate culture of integrity and transparency and to promote sound management, the Company has established the Whistleblowing System and Implementation Measures. The Company shall post on its website a reporting hotline, email address, and other convenient reporting channels to encourage anyone to report to the Company for any crime, fraud, or violation of laws and regulations, and shall designate a unit with powers to exercise independence to be responsible for the acceptance and investigation of reported cases. The Company shall also keep the identity of the whistleblower and the contents of the whistleblowing confidential, and shall protect the whistleblower from any disadvantage or unfair treatment as a result of the whistleblowing. In the event that a non-Yuanta person engages in unethical conduct against the Company and is involved in illegal matters, the Company shall notify the judicial and prosecutorial authorities of the relevant facts. If a government agency or government functionary is involved, the Company shall likewise notify the government’s integrity authorities.

In order to equip all employees and managerial officers with proper knowledge and judgment of the relevant laws and regulations and ethical conduct, the Company regularly organizes annual training courses on Compliance and Anti-Bribery and Corruption Advocacy, the contents of which include customer and financial consumer data protection, stakeholders’ transactions, insider trader guidelines, disclosure of merger-and-acquisition information, integrity, ethical behavior, and legal liability of all persons in the financial business, compliance resources, and whistleblowing system. Above-mentioned personnel are all required to attend courses and pass examinations. In 2019 a total of 10,355 employees participated in the training course and passed the examination with total training hours of 9,730 hours. With regard to the directors of the board, the education was also promoted through two corporate governance seminars on “Anti-Money Laundering Trend and Policy Development after the Third Round of Mutual Evaluation” on July 7, 2020 and “Financial Consumer Protection Act and Fair Treatment Principles” on September 1, 2020.

Fulfillment of ethical management Integrity Management Guidelines Procedures for Integrity Management and Guidelines for Conduct
Promotion of Corporate Social Responsibility and Sustainable Development

Yuanta FHC aims to achieve sustainable development through establishing a sustainable business model for its operation, management and services, so as to provide more diverse financial products, greener financial services, and more comprehensive customer care. By spurring an increased focus on sustainability issues through cooperation with our business partners, Yuanta FHC hopes to generate sustainability in terms of our financial environment and services, and become a benchmark for sustainable enterprises. In order to embody the concept of sustainable development into our internal operation, Yuanta FHC established the Center for the Promotion of CSR in 2011. Consistent with the setting up of the Sustainability Committee, the Center has now been renamed in Chinese and comprises seven functional groups, namely the Corporate Governance Group, Customer Care Group, Green Operation Group, Employee Care Group, Environmental Sustainability Group, Community Engagement Group, and Corporate Affairs Group.

The Center holds working meetings every quarter. It also holds ad hoc meetings as needed for timelier tracking of each project’s execution, and to ensure quality execution. Meanwhile, each functional group also holds regular meetings and is required to report to the person in charge of the Center, so that the person in charge can have a more comprehensive understanding of the project execution progress. The Center reports the results of each task to the sustainability committee every year, including the communication with stakeholders and topics of concern, and reports to the board of directors as well. Related regulatory amendments and organizational changes also require approval from the board of directors, to ensure effective management and implementation of this Company’s CSR policies.

Yuanta FHC’s sustainability vision: Yuanta FHC actively communicates with stakeholders to implement corporate governance. In pursuit of operational performance, the Company upholds principles of transparency, fairness and openness in addressing social issues such as decent work and human rights, and environmental issues such as climate change and biodiversity. Through long-term and continuous communication and complying with regulations and codes of conduct at home and abroad, we work to provide more reliable products and services to help resolve problems. We also spare no efforts in promoting sustainable living in society and creating a better tomorrow for shareholders, customers, employees, and the community. Yuanta FHC will continue its active efforts in fulfilling its corporate social responsibility.

Fulfillment of corporate social responsibility Corporate Social Responsibility Guidelines CSR Policy and Management Measures

永續經營委員會委員 永續经营委员会委员 Sustainability Committee Members
Tony Shen
Convener
經歷 经历 Experience
  • Yuanta FHC, Chairman, Vice Chairman, President
  • Yuanta Securities, Chairman, Director
  • Yuanta Sec. Asia Financial Services, Vice Chairman
  • Yuanta Securities (HK), Chairman
  • Yuanta Core Pacific Securities, President, EVP
Ming Ling Hsueh
Independent Director
Master's in Accounting, Soochow University / MBA, Bloomsburg University of Pennsylvania
經歷 经历 Experience
  • Yuanta Bank, Independent Director
  • LITE-ON Technology Corp., Independent Director
  • Walsin Lihwa Corp, Independent Director
  • TTY Biopharm, Independent Director
  • Taiwan Corp. Gov. Assoc., Executive Director
  • PwC Taiwan, Director
  • Tsing Hua University, Adjunct Professor
  • National Taiwan University of Science and Technology, Adjunct Professor
  • R.O.C. Prof. & Tech. Examinations Committee, Member
  • Financial Literacy and Education Association, Chairman
Kuang Si Shiu
Independent Director
Master's Degree, University of Indiana
經歷 经历 Experience
  • Yuanta Bank, Independent Director
  • Mega FHC, Chairman, President
  • Mega Bank, Chairman, President
  • Hua Nan FHC, Chairman
  • Hua Nan Bank, Chairman
  • Land Bank, Chairman
  • Chiao Tung Bank, Executive Vice President, Manager, Deputy Manager
  • MoF Monetary Affairs Dept., Section Chief
  • MoF Taxation Administration, Assistant Auditor
  • Council for Economic Planning and Development, Researcher
Yin Hua Yeh
Independent Director
Ph.D. in Finance, National Taiwan University
經歷 经历 Experience
  • Chiao Tung University, Institute of Finance, Dept. of Information Management and Finance, Professor
  • Yuanta Bank, Independent Director
  • Yuanta Life, Independent Director
  • Stabilization Fund Management Committee, Member
  • National Development Fund, Committee Member
  • Taipei Exchange, Supervisor
  • Securities & Futures Institute, Director
  • Taiwan Insurance Guaranty Fund, Director
  • Taiwan Corp. Gov. Assoc., Executive Director
  • Financial Supervisory Commission, Commissioner
  • Special Committee on Corp. Gov. Reform, Committee Member
  • Financial Restructuring Fund, Valuation Panel Member and Vice Convener
  • Taiwan Stock Exchange, Resident Supervisor
  • Listed Company Review Committee, Member
  • Securities and Futures Investors Protection Center, Director
  • Securities Investment Trust & Consulting Assoc. of the R.O.C., Non-Member Director
  • Taiwan Corp. Gov. Assoc., Vice Chairman
  • Financial Research Development Fund, Member, Vice Chairman
  • Central Deposit Insurance Corp., Premium Rate and Failing Insurers Advisory Committee Member
Hsing Yi Chow
Independent Director
Ph.D. in Business, Indiana University
經歷 经历 Experience
  • National Chengchi University Department of Finance, Professor
  • Yuanta Polaris Securities, Independent Director
  • Taipei Exchange, Supervisor
  • Taiwan International Cooperation and Development Fund, Director
  • Uni-President Enterprises Corp., Independent Director
  • Polaris Securities, Independent Director
  • National Chengchi University, President, Dean, Associate Dean of College of Commerce, Chair of Dept. of Finance
  • Asian Finance Association, Vice President
  • Financial Restructuring Fund, Management Committee Member
  • Research, Development and Evaluation Commission, Member
  • Securities and Futures Investors Protection Center, Supervisor
  • Taipei Exchange, Director, Supervisor
  • Securities & Futures Institute, Director
  • Santa Clara University, Finance Assistant Professor

The Risk Management Committee assists  the board of directors in carrying out risk management duties. The Committee is convened by the chairman of Yuanta Financial Holdings, and is comprised of the president of Company and each subsidiary, as well as the Chief Risk Management Officer and other individuals appointed by the convener. The Committee meets quarterly, and reports its resolutions directly to the board of directors.

Primary Objectives of the Risk Management Committee

The Risk Management Committee’s duties include carrying out an annual review of risk limits, reviewing risk management reports, integrating and coordinating inter-subsidiary risk management issues, and promoting awareness of major risk management matters.


Operation of the Risk Management Committee

The risk management organization of the Company follows a “three lines of defense” model, with each line having clearly defined organization, responsibilities, and functions to ensure the effective implementation of risk management mechanisms.


For more information on Yuanta Financial Holdings’ risk management policies, please visit our website’s Risk Management section.