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Corporate Governance Policies

In pursuing effective corporate governance, KGI securities Co. Ltd. (“KGI”) insists in transparent operation and focuses on long-term development and sustainable business, Believing strongly that a robust and efficient board of directors (“BOD”) is the cornerstone for excellent corporate governance, it is therefore KGI sets up “Audit Committee”, ”Compensation Committee” and ”Risk Management Committee”  under its BOD with the expectation to achieve the professionalism and independence of the BOD’s supervisory function and to uphold the spirit of corporate governance. In addition, various committees, such as ”Credit and Originating Pricing Committee”, ”Trust Asset Assessment Committee”, ”New Product Review Committee”, ”Brokerage Business Credit Committee” and “Robo—Advisor Committee”, are also established to safeguard the rights and interests of shareholders and investors. The roles and responsibilities of these committees are as follows: 
 
1. Audit Committee:
to exercise powers of supervisors as specified under applicable laws, and to oversee a) the fair expression of financial statements; b) the effective implementation of internal control systems, regulatory compliance and risk controls; and c) the appointment/discharge of attesting certified public accountants and their independence as well as their performance.
 
2. Compensation Committee:
to review and advise on the performance evaluation of KGI’s directors and officers as well as the policy, structure, standard and composition of their remuneration.
 
3. Risk Committee:
to plan and supervise risk management matters.
 
4. Credit and Originating Pricing Committee:
to review underwriting and investment deals.
 
5. Trust Asset Assessment Committee:
to assess the use and status of trust assets entrusted by KGI’s clients.

6. New Product Review Committee:
to conduct pre-launch review on products distributed or brokered by KGI or new business/financial products to be undertaken by KGI.
 
7. Brokerage Business Credit Committee:
Brokerage Business Credit Committee: to plan and supervise brokerage related financing and lending/borrowing business.
 
8. Robo-Advisor Committee:
to supervise and manage the provision of securities investment consulting services with automated facility.
 
In addition, Audit Department will ensure the completeness of internal control system and conduct internal audit on the front, middle and back offices for full compliance of relevant operation requirements. Each business unit will convene regular or ad-hoc meetings and keep close contact with the management so as to make sure relevant issues have been fully discussed prior to the decision, a practice of corporate governance in daily operations.