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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 committee shall be comprised of all independent directors and not have less than three members of which one shall be the committee chair. The chairperson also acts as the representative for the committee. The committee members are appointed with the approval from the board of directors after qualification review and check for potential conflict of interests by the Nominating Committee. The term of office for a committee member is the same as that of independent director. In the event that an independent director is dismissed, resulting in the number of member to be less than the minimum of three, a new member is to be selected by the board within three months, and that member shall serve the remainder of the original term. The committee shall convene at least two times per year, as well as holding additional meetings when 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

In its Integrity Management Guidelines and Guidelines for Conduct, Yuanta FHC clearly lays out prohibited bad faith behavior and interests, along with forbidding the giving or receiving of bribes, provision of illegal political donations, granting of inappropriate charitable gifts or sponsorships, and the provision of unreasonable gifts, entertainment, or other inappropriate benefits. These guidelines also call for regular training, education, and promotion of ethical behaviors, as well as appropriate reporting and disciplinary measures.

This Company’s Integrity Management Guidelines are closely linked to its internal control standards and serve to prevent inappropriate actions by Company staff. They ensure that departments adhere to internal controls and operational best practices, including the Professional Code of Ethics, Rules and Procedures of Board Meetings, Audit Committee Charter, and Operating Standards for Corporate Donations. In addition, the audit department undertakes annual inspections of general operation. No violations occurred in 2018. In accordance with the Guidelines for Conduct, should any staff member be involved in unethical activities, the responsible unit shall handle the issue according to established procedures and report to the board of directors regarding the details of the matter, its handling, and any follow-up improvement measures being taken.

Should the Company encounter outsiders engaging in acts of bad faith and malfeasance, Yuanta shall notify the appropriate legal and prosecutorial authorities of the relevant facts; should public sector agencies or civil servants be involved, appropriate governmental anti-corruption organs shall be notified. Moreover, as the involvement of the Company employees in fraud or criminal negligence could potentially lead to damage to company assets and reputation, or to the rights of shareholders, customers, creditors, and any other stakeholders, the Company has not only established relevant rules and standards, but also employee working rules and an effective, appropriate set of internal control standards. Coupled with Yuanta’s legal compliance, risk management, and internal auditing mechanisms, these rules and regulations help ensure that the Company can continue operating effectively and prevent against fraud or serious negligence. All the staff of the Yuanta Group are subject to both financial regulations and human resources management guidelines; should either be breached, appropriate punishment shall be implemented based on the severity of the breach; where a breach of the regulations is found to be severe enough, criminal and civil action shall be taken against the offender in order to protect the rights and interests of the Company and its stakeholders. The Company is committed to the ideals of probity, transparency, and responsibility in its operation, and thus will continue to promote and implement policies founded on integrity, in order to improve the effectiveness of the Company’s integrity management.

The Company and its subsidiaries regularly organize the Compliance and Anti-Corruption Advocacy courses in the fourth quarter every year, 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 mechanism and whistleblowing system. All employees and managers are to participate in the course and pass examination every year to ensure everyone has the proper understanding and judgment to carry out the integrity management policy in the process of executing their jobs. In 2018, a total of 10,633 people from Yuanta FHC and its nine (9) subsidiaries took the Compliance and Anti-Corruption Advocacy courses and passed the examination. Training hours added up to 10277 hours. A total of 10,277 training hours were accumulated by 10,630 people participating in the courses in 2019.

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.

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.