Business Continuity Policy Statement

To ensure that Capital Futures Group (including Capital Securities Co., Ltd., Capital Futures Co., Ltd., etc.) (hereinafter referred to as "the Group") can minimize harm in the event of sudden emergencies and ensure the safety of personnel, compliance with laws, protection of customer interests, preservation of company reputation, and protection of company assets, as well as to ensure that the Group’s critical business functions can resume service within the recovery time objective of 1 hour to maintain operational continuity, the Group will regularly revise and enforce its business continuity management policy to continuously improve and provide uninterrupted services to customers.

The Group’s Business Continuity Management Policy:

The Group’s business continuity management measures must comply with legal regulations and the requirements of the Group's business continuity management policy.
The Group should establish a business continuity management-related organization to promote and maintain the operation of the business continuity management system and reduce response and handling time during incidents and crises.
The Group should establish mechanisms to understand and identify the operational continuity capabilities and needs of the organization. When changes occur in the operational environment, it is necessary to conduct operational impact analysis and risk assessment, and develop business continuity management strategies based on the results.
The Group should establish incident response plans and business continuity plans based on the results of operational impact analysis and risk assessment, and conduct regular drills to strengthen personnel response capabilities, shorten business interruption time, and reduce the impact of interruptions.
The management of the Group should determine the business continuity management strategy and commit to providing the necessary resources for relevant units' business continuity management needs.
The Group should establish mechanisms for maintaining the business continuity management system through regular audits, management reviews, and contract re-evaluations to ensure the effectiveness of business continuity management arrangements.
All personnel with business continuity management responsibilities should receive appropriate education, training, and response drills according to their competency requirements, and ensure that all operations have backup mechanisms to ensure uninterrupted business activities.
The Group should set business continuity management objectives and measurement methods, and regularly review achievement status to understand the effectiveness of business continuity management efforts.

The Group’s Business Continuity Management Objectives:

Protect personnel's life safety.
Default Reduce the likelihood of incidents that lead to business interruptions.
Minimize the duration of business interruptions.