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Organizational Structure
organization Auditing Office Risk Management Office Wealth Management & Trust Department Brokerage Department Fixed Income Department Future Dealing Department Capital Market Department Register and Transfer Agency Department Proprietary Trading Department Financial Product Department Administration Department Human Resource Department Finance Department Management Information System Department Digital Innovation Department Planning Office Compliance Office
organization Auditing Office Risk Management Office Wealth Management & Trust Department Brokerage Department Fixed Income Department Future Dealing Department Capital Market Department Register and Transfer Agency Department Proprietary Trading Department Financial Product Department Administration Department Human Resource Department Finance Department Management Information System Department Digital Innovation Department Planning Office Compliance Office
Auditing Office
  • Auditing the implementation of financial and business internal controls of the company and subsidiaries
  • Tracking and reviewing the improvement of audit deficiencies of the company and subsidiaries
  • Preparing audit reports and regularly evaluating the effectiveness of the company's internal control system implementation
  • Handling company whistleblowing cases
Risk Management Office
  • Assisting in formulating risk management policies, risk limits, and risk control mechanisms
  • Responsible for daily risk monitoring, measurement, and assessment
  • Regularly reporting to the Risk Management Committee and Board of Directors
  • Developing and executing stress testing and back-testing
  • Reviewing and validating financial product valuation models and valuation systems
  • Planning and establishing company risk management systems and related risk control models
Wealth Management & Trust Department
  • Planning and promoting trust business management strategy
  • Planning and developing trust business services and products
Brokerage Department
  • Planning and promoting channel management strategy and performance evaluation
  • Planning and promoting domestic securities and sub-brokerage business strategy and marketing activities
  • Planning and managing company website and digital trading platform
  • Planning and promoting joint marketing business
Fixed Income Department
  • Engaging in domestic and foreign bond and derivative product trading
  • Engaging in convertible bond trading and asset swap trading
  • Engaging in overseas equity ETF trading
  • Handling bond underwriting business and providing financial advisory services
Future Dealing Department
  • Engaging in futures and options trading
Capital Market Department
  • Handling evaluation and planning of domestic and foreign issuer financial business and related financial advisory services
  • Assisting enterprises with IPO applications and underwriting business
  • Handling listed company fundraising (SPO) business (including private placement)
  • Handling foreign enterprise fundraising in Taiwan or domestic enterprise overseas fundraising business
  • Providing corporate M&A, restructuring, and other financial advisory services
  • Engaging in emerging stock trading business
Register and Transfer Agency Department
  • Promoting stock affairs agency, proxy solicitation, and tender offer related business
  • Providing various stock affairs services for issuing companies
  • Planning and executing shareholders' meetings, ex-rights and ex-dividend operations
Proprietary Trading Department
  • Engaging in domestic and foreign stock trading
  • Researching and executing equity strategic trading (including futures and options)
  • Domestic and foreign financial market analysis
  • Domestic and foreign industry and investment target company analysis
Financial Product Department
  • Responsible for warrant issuance, quotation, and hedging trading
  • Designing and issuing structured products, Exchange Traded Notes (ETN), and other new financial products and hedging trading
  • Researching and executing equity strategic trading (including futures and options)
  • Serving as ETF liquidity provider and engaging in related strategic trading
Administration Department
  • Handling procurement, general affairs, administrative services, and document receipt and dispatch
  • Handling business premises decoration and renovation planning
  • Responsible for management and allocation of company real estate, movable assets, and equipment
  • Maintaining company electrical and mechanical equipment, communication equipment, buildings, and fire safety
  • Responsible for company occupational safety and health management
Human Resource Department
  • Planning and establishing personnel-related management systems and employee care measures
  • Handling personnel recruitment, compensation and benefits, attendance management, appointments and dismissals
  • Planning and conducting employee performance evaluations
  • Planning human resource development strategies and promoting employee training programs
  • Promoting industry-academia cooperation programs with universities and colleges
  • Responsible for labor-management coordination and gender equality related affairs
Finance Department
  • Responsible for fund allocation and cashier operations
  • Handling company-wide accounting matters
  • Preparing financial reports and management reports
  • Establishing and implementing financial and accounting system regulations and systems
Management Information System Department
  • Planning and managing computer system resources, network equipment, and computer rooms
  • Planning, developing, and maintaining various trading systems, electronic platforms, and internal information systems
  • Establishing company information security systems and implementing information security monitoring and risk protection mechanisms
  • Planning and promoting company information operation standards
  • Planning and promoting internal information security education and training
Digital Innovation Department
  • Planning and promoting digital transformation strategies
  • Introducing and promoting fintech integration applications
Planning Office
  • Responsible for planning company short, medium, and long-term development strategies and budgets
  • Evaluating industry development, company operating performance, and planning related projects
  • Handling performance evaluation and supervisory management of invested companies
  • Promoting company ESG, fair customer treatment, anti-fraud, and other related affairs
  • Responsible for Board of Directors and Audit Committee related affairs
  • Maintaining public relations and promoting social prosperity related affairs
  • Assisting with group joint marketing related affairs
Compliance Office
  • Handling company contract review and custody
  • Handling legal consultation and litigation case processing
  • Planning and promoting company legal compliance systems
  • Planning and promoting anti-money laundering and counter-terrorism financing related systems
  • Planning and promoting personal data protection related systems
  • Conducting compliance risk, anti-money laundering and counter-terrorism financing risk, and personal data risk assessments
  • Planning compliance, anti-money laundering and counter-terrorism financing, and personal data protection education and training
organization Auditing Office Risk Management Office Wealth Management & Trust Department Brokerage Department Fixed Income Department Future Dealing Department Capital Market Department Register and Transfer Agency Department Proprietary Trading Department Financial Product Department Administration Department Human Resource Department Finance Department Management Information System Department Digital Innovation Department Planning Office Compliance Office
Auditing Office
  • Auditing the implementation of financial and business internal controls of the company and subsidiaries
  • Tracking and reviewing the improvement of audit deficiencies of the company and subsidiaries
  • Preparing audit reports and regularly evaluating the effectiveness of the company's internal control system implementation
  • Handling company whistleblowing cases