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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
  • National Yang Ming Chiao Tung University, Institute of Finance, Dept. of Information Management and Finance, Honorary 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
  • National Development Fund, 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

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
  • National Yang Ming 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
  • National Development Fund, Committee Member
Hsing Yi Chow
Independent Director
Ph.D. in Business, Indiana University
經歷 经历 Experience
  • National Chengchi University Department of Finance, Honorary 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

In order to improve the functions of the Board of Directors and strengthen the management mechanism of the Company, the Board of Directors resolved to establish the Nominating Committee on January 23, 2019. In accordance with the Company’s Nominating Committee Charter, the Committee shall consist of at least three directors elected by the Board of Directors of the Company, half of whom shall be independent directors, and the members shall elect a person to be the convener and chairperson of the meeting. The term of office of a director joining this Committee shall be from the date of election by the Board of Directors to the date of expiration of the director’s term of office, resignation from this Committee or the director’s position, or another election by the Board of Directors to replace the original director as a member of this Committee. The Committee shall meet at least twice a year and may be convened as often as 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 a plan for the continuing education and succession of directors.
  4. Studying and amending the Company’s Corporate Governance Guidelines.
  5. Other matters that the board of directors has resolved to direct the committee to handle.


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
  • National Yang Ming 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
  • National Development Fund, 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 the Company’s corporate sustainable development philosophy, solidly implement corporate governance, strengthen the board of directors’ administration of integrity management and actively put into practice corporate sustainable development, the Company’s board of directors resolved on November 28, 2018 to establish a “Sustainability Committee,” which is under the board of directors. The “Sustainability Committee” was renamed as the “Sustainable Development Committee” on March 15, 2022, as approved by the 39th meeting of the eighth board of directors. The committee consists of three to seven directors of the Company, at least half of whom are independent directors. The nominating committee of the Company reviews their qualifications and potential conflicts of interest, and the board of directors approves and appoints them. The committee members elect one of them from among themselves as the convener. This (eighth) term is composed of the chairman of the board of directors and four independent directors, and the chairman of the board of directors was elected from among themselves as the convener. The proportion of independent directors is as high as 80%. The committee shall convene at least two meetings per year, and shall hold additional meetings as necessary.

In order to implement sustainability policies such as integrity management and corporate sustainable development, the committee has established the “Integrity Management Office” and the “Corporate Sustainability Office,” which are composed of relevant personnel from the Company and its subsidiaries, and are responsible for the day-to-day promotion and coordination of their respective duties, and reporting work plans and implementation results to the committee on a regular basis.

Primary Objectives of the Sustainable Development Committee

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

  1. Assisting in integrating the values of integrity management and corporate sustainable development into the Company’s operational strategy.
  2. Cooperating with laws and regulations to establish measures to ensure integrity management and fulfill corporate sustainable development.
  3. Supervising and implementing the Company’s policies of integrity management and corporate sustainable development, and evaluating the effectiveness of their execution.
  4. Other matters related to the formulation and monitoring of the implementation of policies on integrity management and corporate sustainable development.


Sustainable Development Committee Charter Operation of the Sustainable Development 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 order to implement the promotion of corporate governance and strengthen the management of the board of directors on integrity management, the Company has designated the “Sustainable Development Committee” under the board of directors as a dedicated unit for integrity management. There are two offices responsible for the promotion and coordination of daily related affairs. The “Integrity Management Office” (Note) is composed of six members, who are department heads of the Secretariat Office, Corporate Planning Department, Administration Department, Human Resources Department, Compliance Affairs Department, and Legal Affairs Department. The Integrity Management Office reports to the Sustainable Development Committee every six months on its work plans and results of implementation. The Sustainable Development Committee reported to the board of directors on March 23, 2021 on the results of the implementation of the Center for the Promotion of Integrity Management (CPIM) in the second half of 2020, the implementation of the whistleblowing system in the second half of 2020, and the implementation of integrity management for the year 2020. The Sustainable Development Committee also reported to the board of directors on October 27, 2021 on the results of the implementation of the CPIM in the first half of 2021 and the implementation of the whistleblowing system in the first half of 2021, and published the operation and implementation of the Committee on the Company’s website and annual report. (Note: The renaming of the “Center for the Promotion of Integrity Management” to “Integrity Management Office” was approved by the Thirty-ninth Meeting of the 8th Board of Directors on March 15, 2022.)

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), and both have been approved by the board of directors. Their scope of application includes all subsidiaries of the Company and 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 order to facilitate the directors of the board, supervisors, and senior management of the Yuanta Group to understand and practice the management philosophy of integrity, the Company has included the “Declaration of Integrity” as a document to be signed by the directors of the board, supervisors, and senior management of the Yuanta Group starting from 2019, and preserve it in a safe place. In the event of re-election of directors or supervisors or new appointees and new senior management, the signature must be completed. The main content of the “Declaration of Integrity” includes, among other things, not to engage in unethical conduct, not to offer or accept improper benefits, not to make illegal political contributions or improper charitable donations or sponsorships, to abide by the principle of interest avoidance, to fulfill confidentiality obligations and not to infringe on intellectual property rights, to abide by confidentiality agreements and not to engage in insider trading, to fulfill disclosure obligations and not to accept improper benefits, and to avoid dealing with unethical business operators. In 2021, 100% of the Company’s directors of the board and senior management have signed the “Declaration of Integrity” and there have been no violations.

The Company has specified in the Integrity Management Guidelines and Guidelines for Conduct that unethical conduct and benefits are prohibited, and has established a mechanism to assess the potential risks of 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 2021. 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 Integrity Management and Legal Compliance Advocacy, the contents of which include customer data protection and financial consumer 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 2021, a total of 11,697 employees participated in the training courses and passed the examination with total training hours of 11,004 hours. With regard to the directors of the board, in addition to providing all directors of the Company with information on Integrity Management and Legal Compliance Advocacy, two seminars on corporate governance were held for directors and supervisors of the Yuanta Group in 2021. On May 4, 2021, 60 directors and supervisors participated in the “Money Laundering Prevention, Countering Financing of Terrorism, and Insider Trading Prevention Practices and Case Studies,” totaling 180 hours. On October 5, 2021, 44 directors and supervisors participated in the “Introduction and Response to the Financial Consumer Protection Act (Fair Treatment of Customers)” for a total of 132 hours.

Fulfillment of Integrity management Integrity Management Guidelines Procedures for Integrity Management and Guidelines for Conduct
Corporate Sustainable Development Framework and Policies

Yuanta Financial Holding Company 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, the Company hopes to generate sustainability in terms of our financial environment and services, with the goal of becoming an international benchmark enterprise for sustainability.

The Company follows the Yuanta Financial Holding Company Sustainable Development Guidelines, the Yuanta Financial Holding Company Corporate Governance Guidelines, and the Yuanta Financial Holding Company Integrity Management Guidelines to implement the concept of sustainable corporate development. The Corporate Sustainability Office is the core unit of the Company for promoting corporate sustainability, with six functional groups: Corporate Governance Group, Sustainable Finance Group, Customer Care Group, Employee Care Group, Environmental Sustainability Group, and Community Engagement Group, whose members are senior executives of the Company and its subsidiaries.

The Corporate Sustainability Office holds quarterly meetings and reports annually to the Sustainable Development Committee on the performance results of each project, including communication with stakeholders and topics of concern, and the fulfillment of sustainable development, and reports to the board of directors. Amendments to relevant rules and organizational changes must also be approved by the board of directors to effectively manage and implement the Company’s sustainable development policy.

The Sustainable Development Committee (SDC) reported to the board of directors on March 23, 2021 on the performance results of the Center for the Promotion of Corporate Social Responsibility (CPCSR) for the second half of 2020 and the fulfillment of social responsibility in 2020. The SDC submitted the 2020 Communications on Issues of Concern to Stakeholders and the 2020 Corporate Social Responsibility (CSR) Report on June 23, 2021. The SDC reported the CPCSR’s performance results for the first half of 2021 on October 27, 2021. The SDC also reported the performance results and progress of the Yuanta Group’s green products in the first half of 2021 on December 29, 2021 and published the operation and implementation of the SDC on the Company’s website and in the annual report.

Fulfillment of Sustainable Development Sustainable Development Guidelines Sustainable Development Policy and Management Measures

永續發展委員會委員 永續发展委员会委员 Sustainable Development 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
  • National Yang Ming Chiao Tung University, Institute of Finance, Dept. of Information Management and Finance, Honorary 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
  • National Development Fund, 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

The Risk Management Committee assists the Audit Committee and 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 Audit Committee and board of directors.

Primary Objectives of the Risk Management Committee

The Risk Management Committee’s duties include agreeing on annual risk limits and monitoring indicator thresholds, reviewing risk management reports, assisting in supervising the implementation of risk management systems, integrating and coordinating inter-subsidiary risk management issues, and advocating and communicating important 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.