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Corporate Social Responsibility Report 2019
Corporate Social Responsibility Report 2020

2020 Corporate Social Responsibility Activities and Implementation Status

Parties Involved 2020 Plans and Directions Implementation Status
Employees
  1. Regular health checks for employees.
  1. In 2020, medical institutions were retained for the employee health check tour in the Company and branches.
  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 2,297 people applied for the massage service in 2020.
  1. Year-end conference (dinner, song and dance entertainment and lucky draw).
  1. Year-end conference (dinner, song and dance entertainment and lucky draw). The year-end conference and dinner was held in the north, central, and south districts. The times and locations of the event are as follows:
    1. North district: Noon, January 12 (Sunday), 2020 on the 1st floor of the Nangang Exhibition Hall in Taipei City; totally 1672 people participated.
    2. Middle district: Noon, January 5 (Sunday), 2020 on the Chao Gang Cheng Restaurant in Taichung City; totally 324 people participated.
    3. Southern district: Noon, January 4 (Sat), 2020 at Lin Palace Hotel in Kaohsiung City; totally 339 people participated.
  1. Talent training through Capital Financial University.
  1. Talent training through Capital Financial University:
    Activity period: August July 21, 2020 to October 15, 2020;
    number of students: 24.
  1. To respond to the COVID-19 pandemic, the Company has taken the following measures:
    1. Remote office.
    2. Work through VPN.
  1. To respond to the COVID-19 pandemic, the Company has taken the following measures as following:
    1. Remote office.
      • From the end of January 2020, the Company began to plan for the remote office and information environment in response to the COVID-19 pandemic. Through inter-departmental meetings, the remote offices at Zhongxiao and Nanjing, and other department with remote offices were discussed and determined. The remote offices were officially commissioned in early April 2020. The relevant departments of the head office dispersed some staff to the remote offices. Until the end of May 2020, when the COVID-19 pandemic slowed down significantly, and the Ministry of Health and Welfare also gradually relaxed relevant regulations, the remote offices completed their phased tasks. Staff sent to the remote offices returned to the head office to work.
    2. Work through VPN.
      • At the end of January 2020, the Company also planned the at-home VPN remote connection office environment for colleagues who may be quarantined at home or executing voluntary health management. In addition to purchasing the required VPN connection equipment and software licenses, The company also arranged training and trials for colleagues in various departments to install the VPN software at their computers at home and configure it, as well as help them to perfect the VPN environment at home.
  1. Educational training: To strengthen professional attainments and skills of employees.
  1. In 2020, total 54 internal training sessions were conducted with 1,880 attendees.
    1. The Investment Banking Department organized a total of seven employee training sessions in 2020. The course content is diversified. External professional instructors and internal instructors served by colleagues at turns conducted the trainings, to enhance the professional knowledge and functions of the colleagues. The trainings are described as the following:
      • (1)
        The key points of amendments to relevant laws and regulations of each competent authority, matters needing attention in the review practices, and case sharing. (February 26, June 24, and October 27, 2020)
      • (2)
        Narrative structure with effectiveexpression (August 28, 2020)
      • (3)
        Colleague thematic presentationtraining presentation skills and expression capabilities. (September 29, 2020)
      • (4)
        Introduction to private equity fund practice & sharing PE service case. (November 25, 2020)
      • (5)
        Corporate fraud risks and challenges (December 18, 2020)
    2. In 2020, the Derivative Department also organized internal department training as follows: In-house training courses on pricing of complex products are held:
      • (1)
        Multi-underlying-asset leveraged loadspread type ELN.
      • (2)
        Multi-underlying-asset fixed interest rate buy-back FCN.
  1. Healthy-workplace series of activities.
    1. Healthy diet: healthy boxedmealinformation.
    2. Building a smoke-free office environment.
    3. Promoting sports activities:
      • (1)
        Providing subsidies to establish sports clubs.
      • (2)
        Promoting “Health Exercise for Office Workers” on the Company’s internal website.
    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 loadspread induced diseases".
    6. Designated physicians were arranged to come to the Company providing health consulting services for employees.
    7. Employee’s office safe operating environment inspections.
    8. Health promotion workshops.
    9. Application for the solution to offer thoughtful inoculation of free flu vaccines in workplace
  1. Healthy-workplace series of activities.
    1. Healthy diet: The healthy boxed meal information was posted on the Company’s intranet.
    2. Building a smoke-free office environment.
      • (1)
        Promote the "Important Provisions of the Tobacco Hazard Prevention Act."
      • (2)
        Announcing the Company’s “Smoking and Chewing of Betel Nuts Hazard Prevention Measures”
    3. Promoting sports activities:
      • (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.
      • (2)
        Demonstrative graphics and videos are available under “workplace energizing gymnastics” on the internal website of the Company.
    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" and "Prevention measures for abnormal load-induced diseases” were formulated. Related operations and regular review 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 was on February 24, 2020, with no participation at all.
      The second-quarter health consultation was on May 25, 2020, with no participation at all.
      The third-quarter health consultation occurred on August 31, 2020, still with no participation.
      The fourth-quarter health consultation happened on November 30, 2020 and was participated in by two colleagues.
    7. Conducting occupational safety and work environment inspections on a regular basis: The Environmental inspection date was on November 30, 2020.
    8. The “My Plate Manual” seminar was held on November 27, 2020. A total of 34 people participated in it.
    9. In October 2020, the "Publicly-funded Influenza Vaccination at Working Place Program" was applied, but because the Ministry of Health and Welfare suspended the vaccination for people aged 50-64 years old, the self-funded influenza vaccination was conducted in 2020.
  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. Employee group insurance.
    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 2020 by the Welfare Committee are as follows:
    1. Marriage subsidy: 10 people; Total amount of subsidy: NT$30,000.
    2. Employee death subsidy: 2 people;total amount of subsidy: NT$100,000.
    3. Funeral subsidy: 51 people; total amount of subsidy: NT$255,000.
    4. Hospitalization subsidy: 61 people; total amount of subsidy: NT$560,000.
    5. Childbirth subsidy: 25 people; total amount of subsidy: NT$78,000.
    6. Travel subsidy: 1,885 people; total amount of subsidy: NT$8,354,947.
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 July 6, 2020 at the Sherwood Taipei; a total of 35 media reporters attended it.
    2. An investment and wealth management seminar took place on December 28, 2020 at Sheraton Hotel; a total of 99 people attended it.
    3. 15 mid- and small scale seminars were held in the North, Middle, and South Districts.
  1. Holding institutional Investors’ conference.
  1. 48 investor conferences were held by the Corporate Finance Department; the average attendees were 50 for each seminar.
  1. Holding Capital Securities “Concern for Public Welfare” investment seminar.
  1. All in-person seminars were cancelled due to the pandemic.
  1. Warrant/ETN 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. Warrant/ETN class:
    1. Branches in the North: One class per month in average, for total 12 classes; the average attendees were 15 for each class.
    2. Branches in the Middle and South: One class per quarter in average, for total four classes; the average attendees were 15 for each class.
    3. Colleges: One class every six months in average, for total two classes; the average attendees were 30 for each class.
  1. Derivative Product Services:
    1. ETN section to provide complete quotations and product information.
    2. Providing online (Internet forum and Facebook) and offline (call center) service support for warrants to diversify communication bridges with warrant investors and to solve problems in transactions.
    3. Over-the-counter
      commodities’ section to diversify order placement channels and to improve tailored commodity service.
  1. Derivative Product Services:
    1. ETN section to provide complete quotations and product information.
    2. Through the the online service, Warrant Holders Are the Greatest Facebook fan page, and the offline customer service hotline (concluded approximately 150 customer services case in total), the interactions between the warrant investors and the warrant issuers were strengthened, to help solve the transaction difficulties.
    3. Establish the online OTC Option transaction platform exclusive to Capital Securities’ customers.
  1. Persistent electronic trading platforms and businesses and organization of various transaction contest and marketing campaigns:
    1. Capital Master Account: In order to streamline the strenuous and complex procedure for customers to open a securities trading account, reflective of the needs of mobile phone users, the digital “ Capital Master Account” service continued to be promoted in 2020. One can open a securities trading account online; a separate bank settlement account is no longer needed. It takes only five minutes to complete the account-opening process so that account-opening is no longer restricted by time and place and that new sources of customers may be effectively explored; it also greatly improves the account-opening efficiency for customers.
    2. LINE@ and H5 strategic alliance order placement: The Capital LINE@ account was opened in 2019. There are currently 150 thousand members. In light of the service nature of LINE@ and to address the demand for customers to place orders on different platforms, the streaming of LINE@ and H5 strategic alliance order placement feature is expected to be introduced; customers will be able to chat while placing orders and it helps zero the distance and with close contact between the Company and its customers. In order for more customers to experience the convenience of LINE@, more marketing activities will be introduced to attract customers to add Capital LINE@ for online investment and trading value-added services.
    3. Deal-by-deal transaction and Happy Trade APP: To go with the deal-by-deal transaction mechanism newly introduced by the Taiwan Stock Exchange, Capital will also introduce concurrently its brand new securities e-order mobile system where deal-by-deal matching is applied to facilitate investors to get familiar with the deal-by-deal transaction order placement model more quickly.
    4. Smart Winner App:
      Combining smart share selection, order placement, and customization in one, the most complete offline push notification service is provided. With the Smart Winner App, abundant information is included in the push notification periodically and for experienced players on the market, there is the strategic share selection feature. Investors can choose their preferred shares and add them as part of their own choices according to the strategy set by themselves. The Smart Winner App will remind them of the dynamics of respective shares to help them make investment decisions.
  1. Through the "Millions of FUN Gifts" in the first half of 2020, and the "Friends of New Accounts Gathering" in the latter half of 2020, customers were attracted to participate in the events. Through the incentive model to guide customers to learn how to use digital platforms to complete relevant digital services such as account opening, order placement, brokerage, and transaction reports. It not only eliminates the cumbersome and time-consuming process of account opening in the past, but also improves the efficiency of various customer services.
    1. During the campaign promotion period,total 58,014 Virtual Accounts were opened, and the market share of the Virtual Account service became No. 1 in 2020.
    2. The number of LINE@ friend members increased to 190,000 in 2020 (a growth rate of 27%). A total of 3,347 orders were placed through the H5 Alliance, with order amount of NT$3.4 billion.
    3. In response to the enforcement of the transaction-by-trade system, the new system is introduced through the event webpage, and an APP "Happy Trade" with functions like lightning order placement and a variety of smart orders has been launched, to satisfy customers’ need of fast and automated brokerage in the market where the transaction is matched one by one. This has driven Happy Trade App to accumulate 24,000 downloads, with 4,175 order placement, for total NT$22.1 billion.
    4. In order to satisfy customers' smart stock selection and order customization functions, and to provide strategic stock selection function for market veterans, the "Smart Selection Winner" was launched. The App has been downloaded 18,243 times, with 948 orders, and the order amount came to the NT$270 million.
  1. Continuously promoting the “Environmental Protection, Love for the Earth, and Happiness in Life" electronic account statement activity:
    1. The Company has been providing electronic account statements to customers for a full range of products, and continues promoting electronic account statements through marketing activities to reduce the use of paper. About 50,000 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 security, trust account opening online addition of electronic accounts systems on website and App promotes online account opening through tutorial videos so as to fully implement electronic transactions. In addition to advancing toward the goal of paperless operations, 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. Continuously promoting the “Environmental Protection, Love for the Earth, and Happiness in Life" electronic account statement activity:
    1. The Company has been providing electronic account statements to customers for a full range of products, and continues promoting electronic account statements through marketing activities to reduce the use of paper. About 56,000 electronic account statements are sent each month, accounted for 45% of the total statements sent. 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 has offered customers security account opening online and addition of electronic, trust, and three-in-one (credit, security borrowing, and loan borrowing) accounts online, and promotes online account opening and e-trading tutorials through tutorial videos, 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. 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 Securities Master Account: It is expected to expand various services continuously, such as trust, subbrokerage, fixed time/amount, among other things.
  1. Diversified order placement platforms are in place to offer customers a more convenient procedure to place orders.
  1. Capital Securities LINE@ diversified order-placement platform: the market share in 2020 was first, and the orderplacement platform constructed by Capital Securities “Happy Trade” has been received well in the market.
Social and Community Service
  1. “Capital Securities Love Reading Program”
  2. Blood donation activity
  3. Diversified Industry-Academic Collaboration Program
  1. To promote rural education in Taiwan and close the gap between rural and urban resources, Capital Securities donates to sponsor outlying schools for a long time:
    1. The commencement ceremony of “Capital Loves Reading” event in National Taiwan Science Education Center on September 29, 2020, to invite 250 elementary school students from Dacheng Elementary School and Gueishan Elementary School in New Taipei City, and Gien Shih Elementary School in Hsinchu County leaving the remote countries and coming to city for the reading trip.
    2. In 2020, donations went to Dacheng Elementary School and Gueishan Elementary School in New Taipei City, King Young Elementary School in Yilan, 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, for total nine school.
    3. For cultivating wealth management education, wealth management manuals were sent to Dacheng Elementary School, a school the Company has sponsored for a long time.
  2. The Capital Group’s blood donation charity activities “Love from Capital for Charity” officially entered the 13th year. A total of 18 sessions have been held. For the current activities, the total number of bags of blood collected exceeded the goal of 1,158.
  3. To help college students to know and experience the financial industry early, and help them to confirm their future career path for closing the gap between study and working, the Company actively engages diversified industryacademic collaborative programs, to develop students to become the practical financial talents with foundation of theories. The Company’ industry-academic collaborative programs include:
    1. Industry Lecturer Program: The Company leverages the financial specialty, and actively promotes the incorporation of school curriculum and industry resources, by sending industrial 51 Parties Involved 2020 Plans and Directions Implementation Status Social and Community Services instructors from Capital Securities to school, and sharing various financial issues.The Company designates 14 senior officers as the instructors for 25 sessions in Soochow University. In addition, from the second half of 2020, the Brokerage Department of the Company has been cooperating with the Department of Economics of Aletheia University, to plan an industrial instructor course. The course is set as an elective course. The eligible students for this course are the junior and senior students of the Department. The content of the course is mainly for students to understand the practice of the securities market, online securities marketing, and the promotion of internship program and the Brokerage Department. The invited instructors were key officers at all levels of the Company, including Chairman Wang, President Jia, branch managers and counter supervisors.
    2. Internship program: via the internship opportunities furnished by the Company, college students were matched to the Company as interns to experience the real working environment. Total 129 interns were received in 2020.
      • (1)
        The Company’s Brokerage Department held the intern training and early employment programs in 2020 as follows: Organizing the summer internship program for juniors: During July to September 2020, the Brokerage Department conducted summer internship training program. Total 77 students from 16 colleges, including National Kaohsiung University of Science and Technology, China University of Technology, and Aletheia University participated. Upon the completion of the program, 14 students were employed early in their senior year (with full-time salary), 16 students became part-time worker in the branch in the first semester of the senior year. The retention rate was 39%; this is an important channel for the Company to introduce new blood. Internship program in second semester of the senior year:During February to April, 2020, 34 students from 12 colleges, including Chihlee University of Technology, China University of Technology, Takming University of Science and Technology, Ming Chuan University, participated the Brokerage Department’s internship program of the second semester of the senior year. Upon the completion of the program, five of them started their employment at the second semester of the senior year.
      • (2)
        2020 Internship program of the Information Department was conducted as the following: Internship program in second semester of the senior year: During February to June, 2020, the internship program was conducted in the Information Department, 11 students from Department of Computer Science and Engineering of National Taiwan Ocean University, Department of Information and Computer Education of National Normal University, Dep. of Information Management of Ming Chuan University, Department of Economics and Finance of Ming Chuan University, Department of Computer Science and Information Engineering of Chinese Culture University, Department of Information Management of Chihlee University of Technology, and Department of Computer Science and Information Engineering of Tamkang University participate this internship program. Upon the completion of the program, five senior students became the permanent employees after graduation, one junior student extended his internship to the first semester of his senior year. The retention rate is 55%. Internship in first semester of the senior year: During August 2020 to January 2021, five students from Department of Information and Finance Management of National Taipei University of Technology, Department of Computer Science and Information Engineering of Chinese Culture University, and Department of Information and Computer Education of National Normal University participated the Internship in first semester of the senior year. One of them became the permanent employee after graduation, and two of them extended their internship to the second semester of the senior year. The retention rate is 60%.
Shareholders
  1. A general shareholders' meeting is held every year.
  1. The general shareholders’ meeting was held on June 22, 2020.
  1. The annual report and the corporate social responsibility report on the Company’s website are completely disclosed to shareholders.
  1. The annual report and corporate social responsibility report are published on a yearly basis. The 2019 annual report was printed in April 2020 and the 2019 corporate social responsibility report was uploaded to the MOPS and the Company’s website in June 2020.
  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 three Independent Directors). The Directors conducted a total of 75 training hours in 2020, 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. The Company’s Integrity Management Committee reviews the Company’s integrity management periodically, particularly at the end of each year and reports its findings to the board of directors periodically.
    The Ethical Management Committee convened a meeting on December 23, 2020 to review and explain the Company’s performance of ethical management in 2020, and reported the same in 11th board meeting of the 11th Board of Directors on January 21, 2021.
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. Tap water consumption in 2020: As the employees washed their hands more frequently to contain the pandemic, the consumed tap water was 818 cubic meters more than in 2019. Power consumption in 2020: the Sungren machine room was added to the inventory scope; comparing to 2019, the power consumption grew 2,684,371 kWh.
    Fuel consumption in 2020 decreased 2,289 liters.
  1. Giving priority to the use of products of manufacturers with the environmental protection label.
  1. Giving priority to products of manufacturers with the environmental labeling. Green building materials and products were used in 2020 for the decoration of 2 sites.
  1. Promoting the recovery of resources to properly handle waste.
  1. Promoting the recovery of resources to properly handle waste. To implement waste reduction, the waste resources were recycled, and divided as general garbage (food waste included) and recyclable resources. Employee categorize garbage at the centralized transitional garbage zone, and the property management of the building or the cleaning vendor would move the garbage away. General garbage is incinerated by the qualified waste disposal companies in the incineration plants; recyclable resources are removed by the recycling vendors.