元大金控
The Audit Committee is to be comprised of only independent directors and not have less than three members of which one shall be the committee chair. At least one member must have expertise in accounting or finance. The term of office for a committee member is to be the same as that of independent director. If the number of independent directors is not adequate to comply with the minimum of three, there must be a shareholder meeting held within 60 days, at which time the appropriate numbers of independent directors will be elected to fulfill the requirement.
At its 2022 Annual General Meeting, the Company elected four independent directors, who comprise the current membership of the Audit Committee, which is convened by Independent Director Ming Ling Hsueh. The Audit Committee meets at least once every month, as well as holding additional meetings when necessary.
The Audit Committee, comprising independent directors only, is set up to improve Yuanta FHC’s internal mechanism and assist the Board of Directors in enhancing corporate governance performance. The committee is viewed as the most important functional committee for Yuanta FHC’s Board of Directors. The Audit Committee formulates the “Annual plan for events and agenda” in accordance with Yuanta FHC’s mid-term and long-term development strategies every year, setting out key targets for execution of annual strategies for the Board of Directors. The major annual tasks include review and discussion of Yuanta FHC’s annual operational and strategic plans, corporate governance related affairs, financial reports, internal audit affairs, and risk management. The Audit Committee and Board of Directors operate based on the plan and review its effectiveness each year.
1. Express opinions on the financial statements
2. Confirm the independence of the company's auditors
3. Ensure measures for internal control are applied
4. Company compliance with relevant rules and regulations
- PwC Taiwan, Director
- Tsing Hua University, Adjunct Professor
- National Taiwan University of Science and Technology, Adjunct Professor
- R.O.C. Prof. & Tech. Examinations Committee, Member
- Financial Literacy and Education Association, Chairman
- Mega FHC, Chairman, President
- Mega Bank, Chairman, President
- Hua Nan FHC, Chairman
- Hua Nan Bank, Chairman
- Land Bank, Chairman
- National Chengchi University, President, Dean, Associate Dean of College of Commerce, Chair of Dept. of Finance
- Securities & Futures Institute, Director
- Asian Finance Association, Board of Directors, Vice Chairman
- Taiwan International Cooperation and Development Fund, Director
- Taipei Exchange, Director, Supervisor
- Financial Restructuring Fund, Executive Yuan, Taiwan, Management Committee Member
- National Chengchi University, Taiwan, Department of Risk Management and Insurance, Adjunct Professor
- Chinese National Futures Association, Futures Trust Fund, Risk Control and Management Committee Member
- Asia-Pacific Risk and Insurance Association, Director
- Taiwan Insurance Guaranty Fund, Advisory Committee Member
- Taiwan Risk and Insurance Association, Director
- Insurance Bureau, Financial Supervisory Commission, R.O.C.(Taiwan), Investment-Linked Insurance Review Committee Member
- Taiwan Futures Exchange, Settlement Committee Convener and Member, Disciplinary Committee Member
The members of the Remuneration Committee shall be all the independent directors of Yuanta Financial Holdings and shall consist of not less than three members, one of whom shall be elected from among themselves as the convener. The convener represents the Remuneration Committee externally. The members of the Remuneration Committee are appointed by the Nominating Committee after reviewing their qualifications and potential conflicts of interest and with the consent of the Board of Directors. The term of office of the members is the same as that of independent directors. If the number of independent directors is less than the number specified in the preceding description due to the dismissal of an independent director, a Board by-election shall be held within three months from the date of occurrence of the fact. In the event of any change in the membership, the term of office shall expire at the end of the original term. This committee shall be convened at least twice a year and may hold meetings at any time as necessary.
In its role assisting the board of directors to exercise the due care of a good administrator, the Committee shall loyally fulfill the following duties:
- Set and periodically review the board of directors and management’s performance evaluation and remuneration policies, systems, standards, and overall structure.
- Periodically evaluate and set remuneration policies for the Company’s directors and management.
- Mega FHC, Chairman, President
- Mega Bank, Chairman, President
- Hua Nan FHC, Chairman
- Hua Nan Bank, Chairman
- Land Bank, Chairman
- PwC Taiwan, Director
- Tsing Hua University, Adjunct Professor
- National Taiwan University of Science and Technology, Adjunct Professor
- R.O.C. Prof. & Tech. Examinations Committee, Member
- Financial Literacy and Education Association, Chairman
- National Chengchi University, President, Dean, Associate Dean of College of Commerce, Chair of Dept. of Finance
- Securities & Futures Institute, Director
- Asian Finance Association, Board of Directors, Vice Chairman
- Taiwan International Cooperation and Development Fund, Director
- Taipei Exchange, Director, Supervisor
- Financial Restructuring Fund, Executive Yuan, Taiwan, Management Committee Member
- National Chengchi University, Taiwan, Department of Risk Management and Insurance, Adjunct Professor
- Chinese National Futures Association, Futures Trust Fund, Risk Control and Management Committee Member
- Asia-Pacific Risk and Insurance Association, Director
- Taiwan Insurance Guaranty Fund, Advisory Committee Member
- Taiwan Risk and Insurance Association, Director
- Insurance Bureau, Financial Supervisory Commission, R.O.C.(Taiwan), Investment-Linked Insurance Review Committee Member
- Taiwan Futures Exchange, Settlement Committee Convener and Member, Disciplinary Committee Member
In order to improve the functions of the Board of Directors and strengthen the management mechanism of the Company, the Board of Directors resolved to establish the Nominating Committee on January 23, 2019. In accordance with the Company’s Nominating Committee Charter, the Committee shall consist of at least three directors elected by the Board of Directors of the Company, half of whom shall be independent directors, and the members shall elect a person to be the convener and chairperson of the meeting. The term of office of a director joining this Committee shall be from the date of election by the Board of Directors to the date of expiration of the director’s term of office, resignation from this Committee or the director’s position, or another election by the Board of Directors to replace the original director as a member of this Committee. The Committee shall meet at least twice a year and may be convened as often as necessary.
The nominating committee operates under to the board of directors and is in charge of the following matters:
- Stipulating diversified and independent qualifications required of board members, including professional knowledge, skills, experience, and gender, and seek out, review, and nominate candidates of board members based on the qualifications.
- Considering the selection of senior managers.
- Establishing and developing the organizational structure of the board of directors and each committee.
- Formulating and regularly reviewing directors’ continuing education and succession plans for directors and senior managers.
- Studying and amending the Company’s Corporate Governance Guidelines, Procedures of Director Election, and Method for the Continuing Education of Directors.
- Acting as the executive unit for performance evaluation of the board of directors and functional committees.
- Other matters that the board of directors has resolved to direct the committee to handle.
Nominating Committee Charter Operation of the Nominating Committee
- National Chengchi University, President, Dean, Associate Dean of College of Commerce, Chair of Dept. of Finance
- Securities & Futures Institute, Director
- Asian Finance Association, Board of Directors, Vice Chairman
- Taiwan International Cooperation and Development Fund, Director
- Taipei Exchange, Director, Supervisor
- Financial Restructuring Fund, Executive Yuan, Taiwan, Management Committee Member
- PwC Taiwan, Director
- Tsing Hua University, Adjunct Professor
- National Taiwan University of Science and Technology, Adjunct Professor
- R.O.C. Prof. & Tech. Examinations Committee, Member
- Financial Literacy and Education Association, Chairman
- Mega FHC, Chairman, President
- Mega Bank, Chairman, President
- Hua Nan FHC, Chairman
- Hua Nan Bank, Chairman
- Land Bank, Chairman
- Yuanta FHC, Chairman, Vice Chairman, President
- Yuanta Securities, Chairman, Director
- Yuanta Sec. Asia Financial Services, Vice Chairman
- Yuanta Securities (HK), Chairman
- Yuanta Life, Vice Chairman, Director
- Yuanta FHC, Chief Executive Vice President
- Yuanta Bank, Vice Chairman, Director
- Yuanta Core Pacific Securities, Director
In order to realize the Company’s corporate sustainable development philosophy, solidly implement corporate governance, strengthen the board of directors’ administration of integrity management and actively put into practice corporate sustainable development, the Company’s board of directors resolved on November 28, 2018 to establish a “Sustainability Committee,” which is under the board of directors. The “Sustainability Committee” was renamed as the “Sustainable Development Committee” on March 15, 2022, as approved by the 39th meeting of the eighth board of directors. The committee consists of three to seven directors of the Company, at least half of whom are independent directors. The nominating committee of the Company reviews their qualifications and potential conflicts of interest, and the board of directors approves and appoints them. The committee members elect one of them from among themselves as the convener. This (ninth) term is composed of the chairman of the board of directors and four independent directors, and the chairman of the board of directors was elected from among themselves as the convener. The proportion of independent directors is as high as 80%. The committee shall convene at least two meetings per year, and shall hold additional meetings as necessary.For more details on the operation of the Sustainable Development Committee, please refer to “Operation of the Sustainable Development Committee.”
In order to implement sustainability policies such as integrity management and corporate sustainable development, the committee has established the “Integrity Management Office” and the “Corporate Sustainability Office,” which are composed of relevant personnel from the Company and its subsidiaries, and are responsible for the day-to-day promotion and coordination of their respective duties, and reporting work plans and implementation results to the committee on a regular basis.
The Sustainable Development Committee operates under the board of directors and is in charge of the following:
- Assisting in integrating the values of integrity management and corporate sustainable development into the Company’s operational strategy.
- Cooperating with laws and regulations to establish measures to ensure integrity management and fulfill corporate sustainable development.
- Supervising and implementing the Company’s policies of integrity management and corporate sustainable development, and evaluating the effectiveness of their execution.
- Other matters related to the formulation and monitoring of the implementation of policies on integrity management and corporate sustainable development.
Sustainable Development Committee Charter Operation of the Sustainable Development Committee
“Integrity” has always been the Company’s operating philosophy, and integrity and ethical values are integrated into the Company’s business strategy. In order to implement the promotion of corporate governance and strengthen the management of the board of directors on integrity management, the Company has designated the “Sustainable Development Committee” under the board of directors as a dedicated unit for integrity management. There are two offices responsible for the promotion and coordination of daily related affairs. The “Integrity Management Office” is composed of six members, who are department heads of the Secretariat Office, Corporate Planning Department, Administration Department, Human Resources Department, Compliance Affairs Department, and Legal Affairs Department. The Integrity Management Office regularly reports to the Sustainable Development Committee on its work plans and results of implementation. In addition, the Committee reports to the board of directors on the matters it is responsible for, so that the board of directors can monitor the implementation of the Company’s integrity-related acts. For details of related operations, please refer to the “Report on Important Proposals by the Integrity Management Office.”
In accordance with the laws and regulations, the Company has formulated the Integrity Management Guidelines of Yuanta Financial Holding Co., Ltd. (hereinafter: Integrity Management Guidelines) and the Procedures for Integrity Management and Guidelines for Conduct of Yuanta Financial Holding Co., Ltd. (hereinafter: Guidelines for Conduct), and both have been approved by the board of directors. Their scope of application includes all subsidiaries of the Company and foundations with direct or indirect donation funds by the Company in excess of 50% in aggregate., and other Group enterprises and organizations such as institutions or legal persons over which the Company has substantial control. The Integrity Management Guidelines and Guidelines for Conduct clearly regulate the matters that the directors of the board, managerial officers, employees, mandataries, and persons with substantial control of the enterprises and organizations within the above-mentioned scope shall pay attention to and the laws and regulations they shall comply with in the course of engaging in commercial activities and executing business. In order to facilitate the directors of the board, supervisors, and senior management of the Yuanta Group to understand and practice the management philosophy of integrity, the Company has included the “Declaration of Integrity” as a document to be signed by the directors of the board, supervisors, and senior management of the Yuanta Group starting from 2019, and preserve it in a safe place. In the event of re-election or by-election of directors or supervisors and new senior management, the signature must be completed. The main content of the “Declaration of Integrity” includes, among other things, not to engage in unethical conduct, not to offer or accept improper benefits, not to make illegal political contributions or improper charitable donations or sponsorships, to abide by the principle of interest avoidance, to fulfill confidentiality obligations and not to infringe on intellectual property rights, to abide by confidentiality agreements and not to engage in insider trading, to fulfill disclosure obligations and not to accept improper benefits, and to avoid dealing with unethical business operators. In 2023, 100% of the Company’s directors of the board and senior management have signed the “Declaration of Integrity” and there have been no violations.
The Company has specified in the Integrity Management Guidelines and Guidelines for Conduct that unethical conduct and benefits are prohibited, and has established a mechanism to assess the potential risks of unethical conduct. In addition to the preventive measures and closely linking the related regulations established by the Company (e.g., Professional Code of Ethics, Rules and Procedures of Board Meetings, Audit Committee Charter, Code of Practice for External Donations, etc.) to the relevant internal control regulations of the Company, so as to facilitate each department to comply with internal control and operating procedures, the general business audit conducted regularly by the audit department every year also incorporates relevant regulations of integrity management to ensure the implementation of the integrity management policy of the Company. If an employee of the Company is involved in unethical conduct or violates the integrity of the Company in serious circumstances, he or she will be dealt with in accordance with relevant laws and regulations or the Company’s personnel policy compliant with the Guidelines for Conduct. No violations occurred in 2023. The Company conducts its business activities in a fair and transparent manner. When establishing business relationships with others, a plan shall include prior evaluation of the legality of business partners, their integrity management policies, and whether there has been a record of unethical conduct. The Company refrains from engaging in business transactions with parties involved in unethical conduct. When entering into a contract with another party, the Company shall fully understand the integrity management status of the contracted party, and shall include in the contract the terms of integrity management and related matters (such as the prohibition of accepting commissions, rebates, or other improper benefits). In addition, the Company conducts post-purchase evaluations of the suppliers it has cooperated with to understand their compliance with the Company’s integrity management regulations, which shall be included as one of the references for future dealings with such suppliers.
In order to establish a corporate culture of integrity and transparency and to promote sound management, the Company has established the Whistleblowing System and Implementation Measures. The Company shall post on its website a reporting hotline, email address, and other convenient reporting channels to encourage anyone to report to the Company for any crime, fraud, or violation of laws and regulations, and shall designate a unit with powers to exercise independence to be responsible for the acceptance and investigation of reported cases. The Company shall also keep the identity of the whistleblower and the contents of the whistleblowing confidential, and shall protect the whistleblower from any disadvantage or unfair treatment as a result of the whistleblowing. In the event that a non-Yuanta person engages in unethical conduct against the Company and is involved in illegal matters, the Company shall notify the judicial and prosecutorial authorities of the relevant facts. If a government agency or government functionary is involved, the Company shall likewise notify the government’s integrity authorities.
In accordance with the Company’s Integrity Management Guidelines, education, training, and promotion should be provided to directors, managers, and employees on a regular basis. In 2024, in addition to providing all directors of the Company with information on the “Integrity Management and Compliance with Laws and Regulations” promotion course, a total of two directors’ refresher courses related to integrity management were organized for the Group’s directors and supervisors, with the topics of the courses and the number of hours of the courses as follows, respectively: On April 18, 2024, 58 directors and supervisors participated in “Money Laundering Prevention and Countering Financing of Terrorism Practices and Insider Trading Prevention Promotion,” totaling 174 hours. On May 16, 2024, 52 directors and supervisors participated in “Financial Consumer Protection Act and Fair Treatment of Customers (Course content includes “Financial Friendliness and the Convention on the Rights of Persons with Disabilities”)” for a total of 156 hours. In order to equip all employees and managerial officers with proper knowledge and judgment of the relevant laws and regulations and ethical conduct, the Group regularly organizes annual promotion courses on “Integrity Management and Compliance with Laws and Regulations,” the contents of which include customer data protection, financial consumer protection, stakeholders’ transactions, insider trader guidelines, disclosure of merger-and-acquisition information, integrity, ethical behavior, and legal liability of all persons in the financial business, compliance resources, and whistleblowing system. Above-mentioned personnel are all required to attend courses and pass examinations. In 2023, a total of 11,550 employees participated in the training courses and passed the examination with total training hours of 10,870 hours.
The Company has established the Procedures for Handling Material Inside Information of Yuanta Financial Holding Co. Ltd. and disclosed them on the official website, regarding the stock trading control measures from the day the Company’s directors, managers, and employees are informed of the Company’s financial report or related performance. The Company’s stock trading control measures include the directors not to trade in the Company’s stock during the closed period of thirty (30) days before the announcement of the annual financial report and fifteen (15) days before the announcement of quarterly financial report.
At the 21st meeting of the ninth (9th) board of directors held on November 21, 2023, the Company provided the directors with a paper copy of the “Schedule of Prohibition of Trading in the Company’s Shares by the Directors of the Board of Yuanta Financial Holding Company Due to Financial Announcements” for the year 2024 for reference and notified the directors by email after the board of directors’ meeting. The Company will also notify the directors of the relevant regulations by email three (3) business days prior to the “starting date” of the prohibition of trading in each quarterly financial announcement.
Fulfillment of Integrity management Integrity Management Guidelines Procedures for Integrity Management and Guidelines for Conduct Report on Important Proposals by the Integrity Management OfficeYuanta Financial Holding Company aims to achieve sustainable development through establishing a sustainable business model for its operation, management and services, so as to provide more diverse financial products, greener financial services, and more comprehensive customer care. By spurring an increased focus on sustainability issues through cooperation with our business partners, the Company hopes to generate sustainability in terms of our financial environment and services, with the goal of becoming an international benchmark enterprise for sustainability.
The Company follows the Yuanta Financial Holding Company Sustainable Development Guidelines, the Yuanta Financial Holding Company Corporate Governance Guidelines, and the Yuanta Financial Holding Company Integrity Management Guidelines to implement the concept of sustainable corporate development. The Corporate Sustainability Office is the core unit of the Company for promoting corporate sustainability, with six functional groups: Corporate Governance Group, Sustainable Finance Group, Customer Care Group, Employee Care Group, Environmental Sustainability Group, and Community Engagement Group, whose members are senior executives of the Company and its subsidiaries.
The Corporate Sustainability Office holds quarterly meetings and reports annually to the Sustainable Development Committee on the performance results of each project, including communication with stakeholders and topics of concern, and the fulfillment of sustainable development, and reports to the board of directors. Amendments to relevant rules and organizational changes must also be approved by the board of directors to effectively manage and implement the Company’s sustainable development policy.
Fulfillment of Sustainable Development Sustainable Development Guidelines Sustainable Development Policy and Management Measures Reporting of Important Motions by the Corporate Sustainability Office- Yuanta FHC, Chairman, Vice Chairman, President
- Yuanta Securities, Chairman, Director
- Yuanta Sec. Asia Financial Services, Vice Chairman
- Yuanta Securities (HK), Chairman
- PwC Taiwan, Director
- Tsing Hua University, Adjunct Professor
- National Taiwan University of Science and Technology, Adjunct Professor
- R.O.C. Prof. & Tech. Examinations Committee, Member
- Financial Literacy and Education Association, Chairman
- Mega FHC, Chairman, President
- Mega Bank, Chairman, President
- Hua Nan FHC, Chairman
- Hua Nan Bank, Chairman
- Land Bank, Chairman
- National Chengchi University, President, Dean, Associate Dean of College of Commerce, Chair of Dept. of Finance
- Securities & Futures Institute, Director
- Asian Finance Association, Board of Directors, Vice Chairman
- Taiwan International Cooperation and Development Fund, Director
- Taipei Exchange, Director, Supervisor
- Financial Restructuring Fund, Executive Yuan, Taiwan, Management Committee Member
- National Chengchi University, Taiwan, Department of Risk Management and Insurance, Adjunct Professor
- Chinese National Futures Association, Futures Trust Fund, Risk Control and Management Committee Member
- Asia-Pacific Risk and Insurance Association, Director
- Taiwan Insurance Guaranty Fund, Advisory Committee Member
- Taiwan Risk and Insurance Association, Director
- Insurance Bureau, Financial Supervisory Commission, R.O.C.(Taiwan), Investment-Linked Insurance Review Committee Member
- Taiwan Futures Exchange, Settlement Committee Convener and Member, Disciplinary Committee Member
The Company had established the Risk Management Committee previously to assist the board of directors and the Audit Committee in carrying out their risk management responsibilities. In addition to having the chairman of the board of director as the convener, the Committee included the chairpersons of the Company and of each subsidiary, the chief risk officer, and other appropriate individuals designated by the convener as its members. The Committee meets quarterly, and submits the meeting materials and its resolutions for reporting at the Audit Committee and the board of directors meeting for the month. For information on the operations of the Committee in 2023 and the dates for reporting to the board, please refer to the “Operation of the Risk Management Committee”.
In order to improve and strengthen the risk management mechanism, the Company has restructured the abovementioned Risk Management Committee into a functional committee in accordance to the Corporate Governance Best-Practice Principles for TWSE/TPEx Listed Companies, with the committee consisting of at least three directors elected by the board of directors, and more than half of the members are to be independent directors. The members shall elect an independent director from among themselves as the convener. The Board of Directors has resolved to approve the Risk Management Committee Charter of Yuanta Financial Holding Co., Ltd. on March 15, 2023. The membership of this (9th board) committee consists of the chairman and two independent directors of the Company, reaching 67% in independent director representation. The Committee shall convene at least once every quarter (and may hold meetings at any time as necessary) as well as report on important motions to the board of directors.
The convener of this committee, independent director Sharon S. Yang, is currently the director of the Financial Research Center of the College of Commerce at National Chengchi University (NCCU) and also serves as an academic expert member of the Carbon Fee Rate Review Committee of the Climate Change Administration of Taiwan’s Ministry of Environment. She has served as an adjunct professor at the Department of Risk Management and Insurance at NCCU, a risk control and management committee member of the Futures Trust Fund of the Chinese National Futures Association, and a director of the Asia-Pacific Risk Management and Insurance Association. Her research expertise lies in financial actuarial science, risk management, financial supervision, ESG responsible investment, and pension systems and investments. During her teaching career, she was entrusted to lead risk management-related projects on many occasions, including “Pension Fund Investment and Hedging Strategies: Analysis of Volatility Index Characteristics, Model Construction and Evaluation of VIX Derivatives,” “Research on Risk Management and Market Consistency Evaluation Methods in the Insurance Industry,” “Analysis of Risk Measurement and Reasonable Premiums under the Regional and Graded Typhoon and Flood Disaster Insurance System” and “Research on the Investment and Hedging Effectiveness of Innovative Financial Products of Senior Social Insurance Policy Discounts,” commissioned by the National Science and Technology Council, and “Formulation of ESG Disclosure Regulations and Practical Guidelines on ESG Investment and Risk Management Processes for Investment and Trust Companies in Taiwan” commissioned by the Securities Investment Trust and Consulting Association of the Republic of China. She has extensive experience in research and teaching related to investment and risk management, and is the professional director related to risk management and climate change of risk management of the Company.
Independent Director Hsing Yi Chow is currently an honorary professor of the Department of Finance at NCCU. He has served as vice chairman of the board of the Asian Finance Association and a director of the Taiwan International Cooperation Development Fund. His research specializes in investment, risk management, international finance, and entrepreneurial financial management. During his tenure, he was commissioned to work on a number of risk management-related projects, including being the co-director of the “Research on Transferring Disaster Risks through New Financial Instruments Such as Catastrophe Equity Options, Catastrophe Swaps and Derivatives Insurance Futures, and GCCI Catastrophe Options” commissioned by the Financial Supervisory Commission, and being the director of the project of “Measures for Dealing with Systemic Risks or Lack of Liquidity in the Futures Market” commissioned by the Taiwan Futures Exchange. He is also the author of the book Case Studies of Implications of Risk Control and Management in Exchange Contracts published by NCCU. He has extensive experience in research and teaching related to financial investment and risk management, and is the professional director of risk management of the Company.
The Risk Management Committee operates under the board of directors and its primary responsibilities are as follows:
1. Reviewing risk management policies and systems.
2. Reviewing annual risk limits and thresholds for monitoring indicators.
3. Reviewing the risk management performance report.
4. Supervising the management of the Company’s existing or potential risks.
5. Assisting the board of directors in supervising the implementation of risk management decisions.
6. Other risk management matters designated by the board of directors or the Committee as requiring to be handled or reported.
Risk Management Committee Charter Operation of the Risk Management Committee
The risk management organization of the Company follows a “three lines of defense” model, with each line having clearly defined organization, responsibilities, and functions to ensure the effective implementation of risk management mechanisms.
For more information on Yuanta Financial Holdings’ risk management policies, please visit our website’s Risk Management section.
- National Chengchi University, Taiwan, Department of Risk Management and Insurance, Adjunct Professor
- Chinese National Futures Association, Futures Trust Fund, Risk Control and Management Committee Member
- Asia-Pacific Risk and Insurance Association, Director
- Taiwan Insurance Guaranty Fund, Advisory Committee Member
- Taiwan Risk and Insurance Association, Director
- Insurance Bureau, Financial Supervisory Commission, R.O.C.(Taiwan), Investment-Linked Insurance Review Committee Member
- Taiwan Futures Exchange, Settlement Committee Convener and Member, Disciplinary Committee Member
- National Chengchi University, President, Dean, Associate Dean of College of Commerce, Chair of Dept. of Finance
- Securities & Futures Institute, Director
- Asian Finance Association, Board of Directors, Vice Chairman
- Taiwan International Cooperation and Development Fund, Director
- Taipei Exchange, Director, Supervisor
- Financial Restructuring Fund, Executive Yuan, Taiwan, Management Committee Member
- Yuanta FHC, Vice Chairman, President
- Yuanta Securities, Chairman
- Yuanta Securities (HK), Chairman
- Yuanta Sec. Asia Financial Services, Vice Chairman