Operation and Implementation of the Corporate Governance Unit

Corporate Governance Operations and Implementation

To establish a sound corporate governance system for our company, we follow the Corporate Governance Best Practice Principles for TWSE/GTSM Listed Companies and the Corporate Governance Best Practice Principles for Futures Commission Merchants of Taiwan Futures Exchange Co., Ltd. In establishing our corporate governance system, we not only comply with laws and regulations and the provisions of the articles of association but also adhere to the following principles:

• Protect shareholders' rights and interests.
• Enhance the functions of the board of directors.
• Utilize the functions of the audit committee.
• Respect the rights and interests of stakeholders.
• Enhance information transparency.

In accordance with the regulations for establishing internal control systems for publicly listed companies, and considering the overall operational activities of the company and its subsidiaries, the internal control system should be designed and effectively implemented. The system should be continuously reviewed to adapt to changes in the internal and external environment of the company, ensuring that its design and execution remain effective.

The company's corporate governance-related affairs are primarily handled by the corporate governance officer, who is responsible for managing board meetings, shareholder meetings, and investor relations. The Compliance and Legal Affairs Department and the Audit Department assist the company by providing the board with the necessary information for business development and the latest regulations relevant to company operations, to help the board comply with legal requirements and other matters stipulated by the company's articles of incorporation or contracts.

The company's website discloses relevant financial, business, and corporate governance information and is regularly updated for investor review.

Corporate Governance Officer

On August 25, 2020, the company's board of directors resolved to establish a "Corporate Governance Officer," with Mr. 陳啟豪, the company's Senior Vice President, appointed to the position. Mr. Chen, who is a qualified lawyer, has over three years of professional experience in legal compliance and related legal affairs in financial institutions and publicly listed companies. His primary responsibilities include:「Handling matters related to the board of directors and shareholders' meetings in accordance with the law」、「Preparing minutes for board of directors and shareholders' meetings」、「Assisting directors and audit committee members with their appointments and ongoing training」、「Providing necessary information for directors and audit committee members to perform their duties」、「Assisting directors and audit committee members in complying with laws and regulations」、「Addressing other matters as stipulated by laws, the company's articles of incorporation, or contracts」。