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Corporate Social Responsibility Report 2019

CSR Program and Achievement

Parties Involved 2019 Plans and Directions Implementation Status
Employees
  1. Regular health checks for employees.
  1. The Serial No. 1060205113 announcement dated January 5, 2018, from the Ministry of Labor is to be followed. Throughout 2019, six employees that worked night shifts over an extended period of time completed the health examination consisting of specific items and five employees aged 65 and above completed the general health examination.
  1. Massage services to employees.
  1. Massage services to employees: The employee massage service started in 2014, and the responses from employees have been good. A total of 2,235 people applied for the massage service from January to December 2019.
  1. Talent training through Capital Financial University:
  1. Talent training through Capital Financial University: Activity period: August 6, 2019 to November 20, 2019; number of students: 31
  1. Investment and financial management seminars/educational training.
  1. Investment and financial management seminars/educational training. A total of 3 warrant classes were held.
  1. Healthy-workplace series of activities.
    1. Healthy diet:
      • 1.1
        Providing healthy boxed-meal information.
      • 1.2
        Holding the "Healthy Life Concept Promotion Lecture".
    2. Building a smoke-free office environment:
    3. Promoting sports activities:
      • 3.1
        Providing subsidies to establish sports clubs.
      • 3.2
        Promoting “Health Exercise for Office Workers” on the Company’s internal website.
      • 3.3
        Holding “Promotion Health Exercise Lecture”
    4. In addition to regular employee health checks, the Company will sign contracts with health check centers to provide preferential health checks for employees.
    5. Promoting "Human-Induced Harm and Illegal Infringement Prevention” and "Prevention Measures for Abnormal Load-Induced Diseases".
    6. Designated physicians were arranged to come to the Company providing health consulting services for employees.
    7. Conducting employee’s office environment inspections.
  1. Healthy-workplace series of activities:
    1. Healthy diet:
      • 1.1
        The healthy boxed meal information was posted on the Company's intranet.
      • 1.2
        The “Low-Salt Diet For Office Workers” seminar was held on July 10, 2019. A total of 30 people participated in it. it.
    2. Building a smoke-free office environment:
      • 2.1
        Promoting "Important Provisions of the Tobacco Hazards Prevention Act".Announcing the Company's “Smoking and Chewing of Betel Nuts Hazard Prevention Measures”
      • 2.2
        Announcing the Company's “Smoking and Chewing of Betel Nuts Hazard Prevention Measures”
    3. Promoting sports activities:
      • 3.1
        The Company has subsidies available for helping set up sports clubs. There were the table tennis club, the yoga club, and the dance club throughout 2019 to apply for the said subsidies.
      • 3.2
        Demonstrative graphics and videos are available under “Workplace Energizing Gymnastics” on the internal website of the Company.
      • 3.3
        The “Useful Yoga For Office Workers” seminar was held on December 24, 2019. A total of 20 people participated in it.
    4. In addition to regular employee health checks, the Company is in a contract with the health check center of Lianan Wellness Center to provide its employees with health checks on preferred offers.
    5. "Human-Induced Harm and Illegal Infringement Prevention" was formulated on September 21, 2017 and "Prevention Measures for Abnormal Load-Induced Diseases” was formulated on December 25, 2017. Related operations have been carried out pursuant to the abovementioned regulations.
    6. Physicians were arranged to come to the Company on a quarterly basis to provide health consulting services for employees.
      The first-quarter health consultation took place on February 25, 2019 and was participated in by three colleagues. The second-quarter health consultation was on May 27, 2019, with no participation at all.
      The third-quarter health consultation occurred on August 26, 2019, still with no participation.
      The fourth-quarter health consultation happened on November 25, 2019 and was participated in by five colleagues.
    7. Conducting labor safety and work environment inspections on a regular basis.
      Environmental inspection date in the first half of the year: The Company was being relocated and hence it did not happen.
      Environmental inspection date in the second half of the year: September 5, 2019.
  1. Employee group insurance.
    1. The Company provides employees with a broad variety of group insurance coverage from life, accidental injury, accidental medical treatment, to occupational hazard.
    2. Employees are invited to include their family members into group insurance at discounted premium. Term life, accidental injury, medical treatment, and cancer insurance policies have been offered to care for employees and their family members.
  1. Various welfare measures of the Welfare Committee
    1. The Company purchases group insurance for each of its employees with additional coverage on life, accidental injuries, accidental medical treatment, and occupational hazards.
    2. Employees are invited to include their family members into group insurance at discounted premium. Term life, accidental injury, medical treatment, and cancer insurance policies have been offered to care for employees and their family members.
  1. Various welfare measures of the Welfare Committee:
    1. Employee marriage related benefits.
    2. Employee funeral subsidy.
    3. Family funeral subsidy.
    4. Employee hospitalization and operation subsidy.
    5. Childbirth subsidy.
    6. Travel subsidy.
    7. Emergency loans.
    8. Natural disaster relief money.
  1. The various welfare benefits that were already provided throughout the year by the Welfare Committee are as follows:
    1. Marriage subsidy: 21 people; total amount of subsidy: NT$63,000
    2. Employee death subsidy: 2 people; total amount of subsidy: NT$100,000
    3. Funeral subsidy: 42 people; total amount of subsidy: NT$210,000
    4. Hospitalization subsidy: 45 people; total amount of subsidy: NT$440,000
    5. Childbirth subsidy: 22 people; total amount of subsidy: NT$66,000
    6. Travel subsidy: 1,934 people; total amount of subsidy: NT$12,286,193
Customers and Investors
  1. Holding investment and financial management seminars.
  1. Holding investment and financial management seminars:
    1. An investment and wealth management seminar took place on June 27, 2019 at the Sherwood Taipei; a total of 14 media reports attended it.
    2. An investment and wealth management seminar took place on December 2, 2019 at Sheraton Hotel; a total of 134 people attended it.
    3. There were a total of 163 small seminars.
  1. Holding Capital Securities “Concern for Public Welfare” investment seminar.
  1. Holding Capital Securities “Concern for Public Welfare” investment seminar.
    A total of four sessions of the investment-oriented “Health and Wealth Seminar” meant to care for the public took place, with 1,210 participants combined.
  1. Warrant class: Routine and non-routine classes in accordance with channels are held at different level of difficulties and topics tailored to the need and their familiarity with the products.
  1. Warrants classes:
    1. Taiwan Stock Exchange - One session per quarter and four sessions in total, with a mean number of participants being 60 per session.
    2. Taipei Exchange - One session every six months and two sessions in total, with a mean number of participants being 80 per session.
    3. Branch offices in northern, central, and southern parts of Taiwan - Two sessions per month and 24 sessions in total, with a mean number of participants being 20 per session.
    4. Colleges and universities - Two sessions per quarter and eight sessions in total, with a mean number of participants being 50 per session.
  1. Derivative Product Services
    1. Establishing ETN section to improve transparency of information and price.
    2. Providing online (Internet forum and FB) and offline (call center) service support for warrants to diversify communication bridges with warrant investors and to solve problems in transactions.
    3. Providing diverse incentives to encourage investors to trade ETN and warrants and improve the brand image.
  1. Derivative Product Services
    1. The only one in Taiwan to provide real-time index performance platform - Capital FTSE Divest-Invest China A50 Index (Total Return) ETN and to provide investors with detailed product information - Capital FTSE China A50 ETN (020009) real time index value.
    2. For the Capital Warrant Forum and the call center established for derivatives, 200 cases in total were closed throughout 2019.
    3. The Company held the transaction contest in warrants with the printed media (Economic Daily News and Commercial Times), with up to 30 thousand people were rewarded; attended the warrant promotion campaign held by the Taiwan Securities Association, reading out to more than 2 million people; and activated the over-the-counter option online trading platform to provide investors with diversified ways to place orders.
  1. Organizing various trading contests and marketing programs.
  1. Organizing various trading contests and marketing programs:
    1. Capital Master Account Project:
      • (1)
        Purpose: To promote the Capital Master Account as a way to opening an account.
      • (2)
        Registration available from September 1, 2019 to November 30, 2019.
      • (3)
        Accomplishments:
        √ Total number of people signed up: 2,372
    2. Deal-by-Deal Simulated Platform Project:
      • (1)
        Duration: March 22, 2019 through November 30, 2019.
      • (2)
        Details: The marketing was based on the promotional campaigns introduced by the Taiwan Stock Exchange for respective stages.
      • (3)
        Platforms: Caishen, E-banking, Strategy King, Wtrade, LINE@, FB, and EDM, etc.
      • (4)
        Strategy: GA follow-up is set for respective item being promoted to tally the communication effectiveness on respective platforms. Meanwhile, the communication effectiveness is being followed up at all times in order to adjust the promotional visual design style and the push notification intervals, weeks, and time points of each push notification.
      • (5)
        Accomplishments:
        √ As of the end of November 30, 2019, there had been accumulatively 77,312 visits; among them, the platforms were clicked on and downloaded 9,618 times in total.
        √ Capital ranked No. 4 under the search results with the keyword “Deal-by-Deal” Transaction on Google (the first three ones are the web pages and official website of the Taiwan Stock Exchange).
  1. Promoting the electronic trading platform.
  1. Promoting the electronic trading platform:
    1. The smart wealth management partner introduced by Capital - “GOODi” is the first in the country “Composite Wealth Management Robot” created based on AI. It aims to integrate all investment accounts available throughout the Capital Group and make them available for inquiries. Besides the inclusion of shares and funds that rendered the accumulative NTD 8 billion trading value of securities throughout the year, GOODi combines the “Capital Master Account” to offer one-stop service for both transactions and account affairs. Meanwhile, the operation interface is adjusted reflective of the user experience; it’s a hands-on learning-free process. GOODi offers customers a platform for spontaneous learning and aims to become the most trusted smart wealth management partner for customers. Customers have access to information such as wealth management news, financial statements that are released, ex-dividend, and shareholders' meetings, among others, in real time and by conversing with GOODi they can get quick and precise answers right away.
    2. Capital Securities set up full-time electronic trading promotion staff in northern, central, and southern parts of Taiwan in as early as 2011 to vertically undertake the first-hand system of the development unit, and then promote to business units and customers horizontally. This year includes:
      • (1)
        More than 50 large-scale investment seminars and exquisite professional lectures, introducing the strengths and advantages of electronic trading platforms to investors and Capital Securities customers.
      • (2)
        505 on-site electronic trading teaching sessions provided to fit the schedule of customers.
      • (3)
        A total of 586 educational trainings for employees held throughout the year to promote the functions of electronic trading.
      • (4)
        29 elementary electronic trading lectures were held for college interns during the industry academia cooperation The electronic trading promotion team, from points (customers) to lines (branch offices), encourages the proliferation of electronic trading services, expanding the coverage to the whole company and increasing the proportion of electronic trading to nearly 70%.
    3. The Company has a customer service center in place to be devoted to the service and promotion of electronic trading. In 2019, the center received 42,750 calls, and 5,839 designated external calls. The answer rate showed a growth of 89% from last year. The service content was mainly: electronic trading system operation instruction (86%), trouble shooting (9%), and product information consultation (5%). Compared to prior certificate and password operations with the highest service frequency, which required large amount of manual labor dropped to below 20% through customer service staff’s involvement in the process design improvement, and the providing of App and Web online self-service check-up mechanisms. This allowed precious human resources to be redirected to customer experience, interface design, project configuration, and smart services. In addition, as far as the control over service quality is concerned, among the completed 806 randomly selected copies of the questionnaire for the satisfaction survey introduced in the fourth quarter of 2019, more than 90% of the customers responded by saying that they were quite clear about the explanations and guidance provided by customer service representatives and were able to transit smoothly onto operation and trading. Customer service representatives that were on duty held onto each opportunity to provide service over the phone and by email. Their only purpose was to enable the customers to quickly and conveniently use the electronic trading tool and to practice a wealthy life.
  1. Continuously promoting the “Environmental Protection, Love for the Earth, and Happiness in Life" electronic account statement activity.
  1. Continuously promoting the “Environmental Protection, Love for the Earth, and Happiness in Life" electronic account statement activity:
    1. The Company provides electronic account statements to customers for a full range of products, and continues to promote them in order to reduce the use of paper through marketing activities. Up to 73,908 electronic account statements are sent each month. The volume of printed paper and ink and other consumables are effectively reduced, as well as the transportation cost and pollution for mailing.
    2. The Company offers customers Webs and APPs with a variety of features, such as account-opening, addition, transaction, account affairs, incoming and outgoing funds, and research reports and releases tutorial videos both on its official website and through YouTube for promotional purpose to fully implement electronic transactions. In addition to advancing toward the goal of paperless operations and reducing customers’ cost of transportation and time required for coming to the counter, these measures can promote energy conservation and carbon reduction for environmental protection.
      • (1)
        Electronic account statement: https://www.capital.com.tw/Service2/account/default.asp
      • (2)
        Open accounts online:
        https://goplus.capital.com.tw/index.html The Company supports environmental protection and paper-less operations and continues to make multiple online applications possible and produces tutorial videos for customers to watch at any time. As of the end of 2019, a total of 139,388 accounts subscribed to statements for all products and up to 73,908 accounts to monthly electronic statements for all products. The monthly electronic account statements accounted for 53.02%, showing further improvement from the preceding year. 10,195 accounts were opened online; 10,121 accounts were opened over the counter with carriers. Additional 1,202 electronic accounts were opened online and additional 2,403 trust accounts were opened online. 4,527 accounts opened additional three-in-one (credit, securities borrowing and loan) accounts online. The Capital Securities audiovisual teaching network launched 19 tutorial videos.
  1. The Capital Master Account is available to make it even more convenient for customers to integrate and utilize funds throughout the investment process.
  1. The Capital Master Account started in 2019 and the scope of service is expected to be maximized in 2020 to cover trust and subbrokerage, among others.
  1. Diversified order placement platforms are in place to offer customers a more convenient procedure to place orders.
  1. It is expected that Capital LINE@ and Smart Winner will be available in 2020 to facilitate placement of orders and Capital API will be provided at the same time for in-depth collaboration in strategic alliance.
Social and Community Service
  1. “Capital Securities Love Reading Program”
  1. To promote rural education in Taiwan and close the gap between rural and urban resources, Capital Securities donates to sponsor outlying schools:
    1. On March 20, 2019, the “Capital Loves to Read” for 2019 was kicked off at King Young Elementary School in Yilan County to declare that the donations this year would reach out from the north to the other parts of Taiwan. A total of nine elementary schools in northern, central, and southern parts of Taiwan were included. Branch offices in these areas sponsored and served as volunteers to encourage students to read. The hope is to set a good example and inspire other people in society to follow suit and care for education in outlying areas.
    2. Around 200 elementary school students in New Taipei City were invited on April 9, 2019 to leave outlying areas and visit the National Chiang Kai-Shek Memorial Hall for an urban reading tour. They visited the STUDIO GHIBLI LAYOUT DESIGNS. The students were able to feel the manuscripts of world-famous animations and find out how famous animations such as My Neighbor Totoro were created.
    3. Branch office volunteership: Changhua Branch Office - Xiufeng Elementary School on September 17, 2019; Jingguo and Hsinchu Branch Offices - Gien Shih Elementary School on September 17, 2019; Zhunan Branch Office - Siang Bi Elementary School on September 26, 2019; Dongmen Branch Office - Rueifong Elementary School and Chiayi Branch Office - Siding Elementary School on September 27, 2019; and Pingtung Branch Office - Gao-Shi Elementary School on September 30, 2019.
    4. On December 13, 2019, just before Christmas, in particular, all staff, faculty, and students from Xiufeng Elementary School of Nantou County were invited to visit Natural Way Six Arts Cultural Center and National Museum of Natural Science in the downtown of Taichung City. Besides helping them broaden their horizons and experiencing the different looks in the city, Chairman Chun-Chih Wang and General Manager Chung-Tao Chia particularly came down from Taipei to play Santa and gave away good reading presents for Christmas to each student. They were delighted and felt the abundant care from Capital.
    5. Throughout 2019, donations went to 9 elementary schools in total, namely, King Young Elementary School in Yilan, Gueishan Elementary School in New Taipei City, Dacheng Elementary School in New Taipei City, Gien Shih Elementary School in Hsinchu County, Sian Bi Elementary School in Miaoli County, Xiufeng Elementary School in Nantou County, Siding Elementary School in Chiayi County, Rueifong Elementary School in Tainan City, and Gao-Shi Elementary School in Pingtung County.
  1. Holding the blood donation activity.
  1. The Capital Group’s blood donation charity activities “Love from Capital for Charity” officially entered the 12th year. A total of 23 sessions have been held. For the current activities, the total number of bags of blood collected exceeded thegoal of 1,500.
Shareholders
  1. A general shareholders' meeting is held every year.
  1. The general shareholders’ meeting was held on June 24, 2019.
  1. The annual report and corporate social responsibility report are completely disclosed to shareholders on the Company's website.
  1. The annual report and corporate social responsibility report are published on a yearly basis. The 2018 annual report was printed in April 2019 and the 2018 corporate social responsibility report was uploaded to the MOPS and the Company’s website in June 2019.
  1. Classes are opened on topics including finance, risk management, business, commerce, legal affairs, accounting, corporate social responsibility, corporate ethics, internal control systems and financial reporting based on the professional competence of the Directors and employees .
  1. The Company has 11 Directors (including 3 Independent Directors). The Directors conducted a total of 126 training hours in 2019, and the topics covered finance, risk management, business, commerce, legal affairs, accounting, corporate social responsibility, corporate ethics, internal control systems and financial reporting.
Business Integrity
    The Company has "Integrity Code of Conduct" and “Operational Procedures and Guidelines of Ethical Corporate Management Best Practice” in place. They exist to enforce integrity principles throughout internal management and commercial activities. In order to build a corporate culture of ethical and transparent management, the Company has established “Whistleblower Procedure” to encourage the identification of any illegal matters. The Company has assembled an Integrity Management Committee that reviews the Company's integrity management on a yearly basis, and reports its findings to the board of directors periodically.
    The Integrity Management Committee convened a meeting on December 23, 2019 to review and explain the Company’s performance of business integrity in 2019, and reported the same in fifth board meeting of the 11th Board of Directors on January 21, 2020.
Environmental Protection
  1. Promoting energy conservation and carbon reduction policies to reduce the use of water, electricity and petroleum.
  1. Promoting energy conservation and carbon reduction policies to reduce the use of water, electricity and petroleum.
    2019 tap water saving of 1,360 cubic meters.
    2019 power saving of 779,053 kWh.
    2019 fuel consumption: Due to the fact that the main office has been relocated and the new location is further away from the freeway, oil consumption exceeded 99 liters from last year.
  1. Giving priority to the use of products of manufacturers with the environmental labeling.
  1. Giving priority to products of manufacturers with the environmental labeling.
    Green building materials and products were used in 2019 for the decoration of 10 sites.
  1. Promoting the recovery of resources to properly handle waste.
  1. Promoting the recovery of resources to properly handle waste. The Company has implemented internal resource recovery and resources classification. 200 carbon cartridges have been recycled by returning them to professional manufacturers for disposal to avoid pollution and waste of resources.