Legal Compliance

Mega Securities has established its compliance system in accordance with the "Regulations Governing the Establishment of Internal Control Systems by Service Enterprises in Securities and Futures Markets" of the FSC, and designated the Legal Affairs and Compliance Office as the dedicated department in charge of the planning, management, and execution of the compliance system. The head of the Legal Affairs and Compliance Office is appointed by the Board of Directors to be the head of the Company's compliance affairs and is responsible for the overall management of compliance affairs and reporting to the Board of Directors and the supervisors every six months. In the event of a major violation of law or a downgrade from the competent authority, the compliance officer shall immediately notify directors and supervisors and report the compliance matter to the Board of Directors. The Board of Directors has also established the Compliance Committee, chaired by the chairperson of the Board, and the Legal Affairs and Compliance Office as the dedicated department to effectively implement the promotion and execution of Mega Securities' compliance system. By doing this, we are able to achieve the goal of independent identification, assessment, and monitoring of compliance.