Organization Structure

Major Corporate Functions:

Department Functions
Brokerage Business

1.Accept orders from clients to buy/sell listed securities and forward to TWSE for execution.
2.Accept orders from clients to buy/sell listed securities and forward to TPEx for execution.
3.Manage custodial services for clients.
4.Provide margin financing for securities trading.
5.Securities Borrowing and Lending Business.
6.Borrowing or Lending Money in Connection with Securities Business.
7.Accepting orders to trade Foreign securities.
8.Futures Introducing Broker Business.
9.Electronic transaction operations.
10.Customer service coordination process.

Proprietary Trading

1.Trading of publicly listed securities on the TWSE and TPEx, using President securities’ own funds.
2.Assess and advise clients with respect to capital increase plans and applications to convert private equity into publicly traded stocks.
3.Assess and advise clients with respect to capital increase plans and applications to convert private equity into publicly traded stocks.

Capital Market (Underwritng)

1.Assess and advise clients with respect to capital increase plans and applications to convert private equity into publicly traded stocks.
2.Assess and advise clients with respect to capital increase plans and applications to convert private equity into publicly traded stocks.
3.Underwrite bonds and foreign depository receipts. Assist in M&A activities; provide consulting services on corporate finance and other specialized areas.
4.Other various types of underwriting business.

Financial Products

1.Underwrite equity warrants and conduct hedging strategies.
2.Develop and issue structured products.
3.Convertible bond asset swap and options business. Trading of equity derivatives
4.New financial product design and development.
5.Other derivatives financial products approved by the competent authority.

Underwriting

1.Assist corporations in application for public listing on TWSE or TPEx
2.Assess and advise clients with respect to capital increase plans and applications to convert private equity into publicly traded stocks
3.Assist in M&A activities; provide consulting services on corporate finance and other specialized areas
4.Assist in M&A activities; provide consulting services on corporate finance and other specialized areas
5.Other various types of underwriting business.

Fixed Income Dealing

1.Use own capital to buy and sell domestic and foreign corporate and government bonds over the TPEx market.
2.Offer tendering services of Taiwan government bonds
3. Repo and Reverse-Repo transactions.
4.Trade overseas and domestic convertible bonds
5.Assist with the sales of primary listings of corporate debt and financial debt issues.
6.Provide securities market services and product selling to financial institutions and corporate clients.

Quantitative Trading

1.Market making and trading of futures and options contracts on the TAIFEX
2.Market making and trading of legally-permitted foreign futures and options contracts.
3.ETF arbitrage, market making, hedging, and trading. Spot and futures arbitrage and trading.
4.Structured products issuing and trading.
5.Spread and volatility arbitrage of domestic and foreign futures/options products.

Wealth Management & Trust

1. Provide customers with the most complete asset arrangement and finance service planning service. Conduct asset allocation for customers through trusts.
2.Negotiable securities trust lending business.
3. Provide Offshore Securities Unit (OSU) customers with service of international securities asset allocation, wealth consulting service, foreign securities or other authorized foreign financial products.

Shareholder Services

1.Coordinate shareholder services on behalf of publicly listed companies.
2.Assist in the coordination of shareholders’ meetings. Coordinate the distribution of cash and/or stock dividends to shareholders.
3.Manage the issuance and delivery of tax forms to shareholders.
4. Respond to shareholder enquiries and legal issues.

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