Combating Crime

Mega Securities complies with the regulations of the competent authorities and the requirements of the Mega Group to implement the “Money Laundering Control Act”, the “Counter-Terrorism Financing Act”, and the “Regulations Governing Anti-Money Laundering of Financial Institutions”, and supervises all departments to implement prevention and control measures. Mega Securities supervises all departments to implement prevention and control measures. Operations related to AML/CFT include customer due diligence, transaction monitoring, and education and training. At Mega Securities, we have established a money laundering prevention monitoring and list screening system, and provide comprehensive training for money laundering prevention personnel. To supervise and manage the AML/CFT business of each department, Mega Securities has established the AML/CFT Committee, which is under the Board of Directors and chaired by the general manager. Regular committee meetings are held every quarter to review important regulations and AML/CFT-related matters that require review or approval by the Board of Directors. Regulations and AML/CFT-related matters that do not require approval of the Board of Directors are approved by the general manager according to the hierarchical responsibility chart. The scope of the Committee's supervision includes overseeing the implementation of various matters related to AML/CFT, reviewing the disciplinary actions taken by the competent authority against Mega Securities due to matters related to AML/CFT, and analysis of the causes of the disciplinary actions or fines imposed by the competent authority. The Committee is also responsible for reviewing the adequacy of Mega Securities' control measures and the implementation of various AML/CFT-related matters, such as penalties imposed by peers or other important AML/CFT-related matters, The relevant results are reported to the Board of Directors.