元大金控

Yuanta Securities’ brokerage business has developed from a primary focus on Taiwanese stocks into a comprehensive product line, including stock trading, short selling and margin trading, sub-brokerage, wealth management, non-restricted lending, securities borrowing and lending, systematic investment plans, domestic and foreign futures and options, and other diversified financial services.

In addition to its deep cultivation of the Taiwanese stock brokerage business, Yuanta Securities led the industry in developing and promoting stock secured loans, securities borrowing and lending, regular and fixed volume share purchase, and other innovative business areas. Yuanta has also continued to develop its wealth management business, expanding both the breadth and depth of its financial services to remain an industry leader. To effectively meet the coming of the digital age in finance, Yuanta has actively developed its digital investment platform, including its mobile apps Mr. Investor, Wan-Shi-Tong, Mobile Lending, Mobile Securities Lending, and Wealth Creation. By coordinating with the expansion of Yuanta’s various wealth management services, these digital tools have helped to increase operational efficiency, achieving major operational value for Yuanta through both physical and virtual channels.

Yuanta Securities has the largest securities branch network in Taiwan and has completed its transition into a fully integrated brokerage. Yuanta’s sales staff are equipped with relevant professional licenses and thorough knowledge of the Company’s products and are supported by a dedicated research team and a user-friendly digital finance service platform providing customers with real-time, comprehensive global investment news.

Yuanta Securities' investment banking business is guided by the needs of its clients, providing long-term development strategies and financial consulting, with an operational strategy (including IPO, SPO, FA) that gives equal weight to quality and quantity. It also acts as a sector banker to provide customers with comprehensive financial solutions, and actively seeks financial consulting opportunities, including for IPOs, mergers, demergers, acquisitions, and privatization to give clients vital behind the scenes support in the capital markets. Yuanta investment banking also offers a comprehensive range of financial services which are customized, diversified, and integrate Group resources to create unique business opportunities and increase customer loyalty. Additionally, with the Company's strengthening in recent years of its offshore securities unit (OSU), it has actively participated in international underwriting and financing business.

In view of the global investment strategy’s concern for corporate social responsibility, Yuanta Securities’ investment banking business also considers the impact of environmental and ecological issues, social responsibility and corporate governance when selecting target companies for its investment banking business. Furthermore, Yuanta Securities will continue to seek out ESG-centric companies in various industries and assist them in their fundraising efforts.

Reacting to changes in the global capital markets, Yuanta Securities has rapidly grown its presence in other Asian markets, including establishing locations in Hong Kong, Korea, Vietnam, Indonesia, Thailand, and Cambodia, as well as participating in the IPOs and international placement international enterprises, financial consulting, and international financing, with the hopes of broadening and deepening the products and services offered by the IB division. Yuanta Securities' investment banking team has international-level investment banking experience, and long-term relationships with international, Chinese, and Taiwanese institutional investors, helping its clients to more effectively evaluate, attract, and select suitable investors. In recent years, more than half of the financial consulting cases taken by Yuanta Securities have been related to overseas business, providing domestic and international business services to both Taiwanese and foreign firms, with experience in regions ranging from China and Asia to North America and Europe.

Yuanta Securities’ investment banking business has consistently been a market leader and has expertise in a variety of case types; the team's professionalism and efficiency have gained the trust and affirmation of their clients and earned the Company a strong brand reputation. Yuanta Securities' diverse innovations in its investment banking business have also been recognized by numerous international financial industry publications such as Euromoney, FinanceAsia, The Assets, Asiamoney, and Asian Banking & Finance magazine as “Taiwan’s Best Investment Bank” and “Taiwan's Best ECM House.”

Whether in IPO, SPO, or FA cases, Yuanta Securities maintains the principle of tight risk control and careful case selection combined with the integration of Group's resources. Through its integrated platform, and with the cooperation of investment channels from a variety of regions, Yuanta seeks to maximize efficiency in each of its cases. By cultivating international markets and expanding synergies, the Company provides its clients with a comprehensive range of capital and strategic planning services.

Yuanta Securities has long been guided by the concept of creating wealth for its investment clients. By actively cultivating the derivative financial products market and constantly seeking out innovation, it has maintained industry-leading positions in equity derivatives, structured products, convertible bond asset swaps, and interest rate derivative products.

Yuanta has also been a long-term participant in the warrants market and holds the top industry ranking for categories ranging from number of warrant issuances and warrant trading to stock volume and investor preference. The Company has been awarded numerous honors from the Taiwan Stock Exchange and Taipei Exchange, including Top Securities Company for Consigned Trading, Most Warrants Issued, and Top Performing Warrants Issuer.

Yuanta has also been a driving force in terms of product innovation, including being the issuer of the first warrant in Taiwan, the first securities firm to issue a warrant in Singapore, the first issuer of callable bull/bear contracts and extendable callable bull/bear contracts, and the only firm to link a warrant’s underlying instrument to the commodity market (spot gold price). In each of these instances, Yuanta led the industry in providing diversified products, giving investors the opportunity to pursue a wider range of financial strategies.

Yuanta Securities was honored by The Asset magazine as the Best Warrants House in 2010, and as the Best Equity Derivatives House in 2013, 2014, and four consecutive years from 2016 to 2019, representing a major step forward for Yuanta’s team in achieving its goal of “local service, international recognition.

In 2019, Yuanta Securities marked a new chapter in the derivative products market, becoming one of the first securities firms to issue an Exchange Traded Note (ETN) by introducing an ETN which tracks TIP Preferred Stock Mix High Dividend 20 Total Return Index compiled by Taiwan Index Plus Corporation (TIP). This ETN received universal praise from the market upon its listing, showing the customers’ trust in the Yuanta brand.

In terms of underwriting amount and number of issuances, Yuanta Securities consistently ranks at the top of the fixed income market. Yuanta is a leader in underwriting asset securitized deals as a top CBO dealer in the industry. Yuanta's fixed income market highlights are as follows:

• A leader in domestic corporate bonds and financial debentures underwriting volume
• The leader in convertible bond asset swaps and convertible bond swap options volume
• The first to receive approval from Taiwan’s central bank to issue RMB structured products
• The lead underwriter on the first Formosa Bond issuance
• Major issuer of FCY fixed income products (conditional and guaranteed structured products, etc.)

Yuanta Securities has also received recognition from renowned international publications such as FinanceAsia, The Asset, and Asiamoney for its influence in Taiwan’s market. Awards won include: Best Bond House, Investors' Choice for Primary Issues in Asian Currency Bonds - Corporate Bonds, No. 1 for Best Individuals in Taiwan Dollar Bonds, among others, demonstrating Yuanta Securities’ strength in fixed income products.

Yuanta Securities has been a long-term participant in the foreign institutional investor (FINI) business and possesses an experienced team providing a complete product line and one-stop service. It is currently the only securities firm in Taiwan that allows FINIs to easily participate in the Taiwan market. Under the ever-changing demands of the market and customers, Yuanta Securities’ FINI business utilizes the company’s abundant resources to strengthen its differentiated services to meet the needs of various types of trading.

Yuanta has Taiwan’s largest investment consulting research and FINI business team, covering over 150 Taiwanese large, mid, and small-cap stocks. In addition, Yuanta’s dedicated customer planning team provides high-level Taiwan stock roadshows, customer visits, telephone meetings, and research services, ensuring that our international customers have a clear understanding of the companies’ business operations as well as any changes in the market, creating outstanding trading performance.

In terms of electronic business, Yuanta is the only Taiwanese securities firm to cooperate with sixteen international electronic business platforms, providing customers with convenient order placing services. In addition, for customers with stringent requirements for speed or customization, Yuanta’s FINI business has also established high-speed trading portals and colocation (colo) services. The best colocation and the top-notch architecture and equipment allow teams and customers with deep high-frequency trading experience to deliver high-level performance in Taiwan.

Yuanta is the largest securities borrowing/lending (SBL) brokerage firm in Taiwan. Yuanta’s SBL products and services are supplemented by individual investors to better link supply and demand, to enhance the liquidity of the SBL market, and to satisfy the needs of FINIs for directional, bull/bear, hedging, and arbitrage trading.

Yuanta Securities has the largest number of PD licenses for customers to participate in investment trust funds. Our professional traders combine the spread trading execution of futures and SBL with matching and high-volume trading to provide our customers around the world with a trading platform of zero time difference. With the addition of our custodian bank business, FINIs can also receive full-service support from one team.

Yuanta’s professionalism has also won the affirmation of institutional investors, who have named it Taiwan’s Best Brokerage for more than ten consecutive years in Asiamoney magazine’s institutional investor poll. It has also been recognized for awards such as Best Overall in Sales Services and Best Research Team among Taiwanese brokerages.

Yuanta Securities' international finance business provides comprehensive advisory and product trading services to meet the investment needs of both domestic and foreign investors. Yuanta offers our customers the ability to trade foreign stocks, ETFs, preferred shares, REITs, bonds, offshore structured products, and foreign IPOs. Yuanta also has an integrated OSU platform that offers international financial products, funds and securities custodial accounts, and stock secured loans.

With the growth of overseas trading, Yuanta offers foreign product information and private wealth management services to a wide-range of clients including domestic and international institutional and private investors, banks, insurance companies, investment trusts, and government funds.

Our trading platform provides 24-hour international trading and quotation services, with a coverage range extending to the quotation systems of 27 exchanges in 19 countries worldwide. In terms of foreign currency settlement services, we provide investors with settlement services in NTD, original, and non-original currencies, help investors utilize accounts for consigned trading of foreign securities, use Renminbi to trade A-shares, and use other foreign currencies such as Hong Kong Dollars, US Dollars, Euros, and Japanese Yen to help clients trade in the respective overseas stock market. By providing investors with computer applications, smart mobile order placement, and order placement via telephone, Yuanta helps our customers to meet their foreign consignment trading needs in a simple, fast, and convenient way.

Additionally, Yuanta will coordinate among its research teams in Taiwan, Hong Kong, and China, partner foreign investment firms and ETC issuers, to host occasional international visits, investor roadshows, explanatory meetings and topical lectures for interested investors. The company also utilizes its Wan-Shi-Tong app, video content, and digitized services to keep investors informed of the latest global investment news, popular industries, and individual stock information to assist them in making educated investment decisions.

Yuanta Securities upholds the operational concept of "local living and global investing“ to provide investors with international investment opportunities and high-quality professional service.

As Taiwan’s leading brokerage in futures and options product market making and as the largest liquidity producer for Taiwanese ETFs, Yuanta is focused on providing the market with accurate quotations and liquidity services.

Yuanta’s areas of business include market making for futures, options, and ETFs and strategic futures, options, and spot trading. The underlying instruments coverage includes domestic and international products and indexes, precious metals, commodities, currency exchange rates and interest rates. The trading time zone covers other Asian markets with overlapping trading hours, such as Japan, Hong Kong, Singapore, etc. During the evening time, US market trading is also executed.

In terms of trading techniques, the main feature is the development of stable and profitable trading strategies through extensive data analysis and back-testing. Yuanta uses self-developed automated trading systems to reduce the risk of error, to pursue stable performance and to maximize profitability.

With rapid developments in fintech, big data, and artificial intelligence, Yuanta continuously explores new and emerging technologies in the trading arena to further optimize the quality of our trading strategies, processes and profit and loss management.

Yuanta’s core international business centers upon providing our clients with a fully-integrated pan-Asian platform for trading, wealth management, financing, and business operations. This platform provides our clients with access to a wider range of international products and services and entry to new Asian markets.

Outside of Taiwan, Yuanta has business operations in Korea, Hong Kong, Thailand, Indonesia, Vietnam, China, and Cambodia. Yuanta utilizes its Hong Kong operations to serve as a hub for the Greater China Region and to further link the markets of Taiwan, Shanghai, and Hong Kong. Yuanta’s presence extends north to Korea and throughout Southeast Asia to provide our clients with localized market insights, product offerings, and on-the-ground support.

In order to be at the forefront of Taiwan’s “Digital Finance 3.0” policy, Yuanta has successively launched several innovative mobile service platforms. The first is “Mr. Yuanta App”—a smart stock picker that combines artificial intelligence and big data computing technology. The second is “Wan-Shi-Tong E-services App”—a one-stop electronic counter that allows a customer to quickly and easily open an account online and handle various counter services online.

The platform interfaces are designed in a simplified, user-friendly manner to appeal to new and younger investors. Yuanta has received multiple Fintech patents for its underlying technology and designs. At the same time, Yuanta has enhanced its information security to provide a stable, secure trading environment. Yuanta will continue to develop new versatile technologies to provide its customers with high-quality, cutting-edge digital financial services.

Yuanta’s mobile apps have received numerous awards including: Taiwan Industrial Development Bureau’s Digital Content Award, Business Next’s Future Commerce Awards-Best Product, the National Brand Yushan Award-Best Product, Securities and Futures Institute’s Outstanding Financial Innovation Award, Wealth Magazine’s Best Fintech Innovation and Best Digital Brokerage awards, The Asset Digital Awards-Best Mobile Brokerage Application, the top industry ranking in CommonWealth magazine’s Digital Life Survey, and Business Next’s Benchmark Finance/Investment Company in Digital Services award.

Yuanta is the leading registrar service provider in the industry, with an experienced stock transfer and registrar team that has handled a wide range of cases.

To enhance our services for shareholders and customers, Yuanta holds stock service forums on a periodic basis every year, as well as additional forums, and invites industry professionals to provide in-depth information relevant to stock service regulations and to share their professional experience. These forums have received highly positive feedback from our customers for the breadth of their content. Additionally, Yuanta provides daily, weekly, and monthly reports by email to update clients on regulations and stock service related news, helping clients stay informed while also strengthening their relationship with the Company.

In recent years Taiwan’s domestic securities market has steadily diversified, while the competent authorities have introduced new products and systems to stimulate market growth. Yuanta’s stock services and registrar department has also entered new business areas; through our strong communication with the competent authorities, Yuanta took the lead by becoming the first firm to lead a foreign company through an IPO in Taiwan. With a consistently active approach to business and a commitment to providing the best professional services, Yuanta works with its customers and clients to find solutions beneficial to all.

Yuanta Securities has always been actively engaged in assisting our clients with their investment and asset allocation needs. Since Yuanta entered into the wealth management business, the company has leveraged its group’s advantages to assist its clients in effectively managing their wealth. These advantages include:

• Research team strength: localized research capable of accurately grasping global market conditions.
• Customer-oriented, innovative services: with personalized investment plans, Yuanta provides clients with superior after-sales services.
• Market insight and foresight: the ability to predict and quickly react to changes on the market puts Yuanta a step ahead of its peers in seizing opportunities.

In addition, Yuanta Securities' wealth management business has integrated the resources of multiple departments to provide its clients with professional investment planning and comprehensive after-sales services. By fulfilling its clients' needs as a one-stop investment service provider, Yuanta can offer a unique perspective and accurate judgment to assist its clients in selecting suitable financial products to increase and/or protect their wealth.

Yuanta Securities’ wealth management business has won Business Today’s Best Wealth Management Brokerage Award for six consecutive years from 2014 to 2019. It also won the Best Wealth Management Brokerage award from Wealth Magazine from 2016 to 2020 for five years running.

Business Today Banking and Securities Wealth Management Evaluation

• 2019: Best WM Brokerage, Best Sales Team, Best Product, Best Risk Control, Best Smart Banking, Best Wealth Value Added
• 2018: Best WM Brokerage, Best Product, Best Investment Advisory Team, Best Wealth Value Added, Most Trusted Security, Best Information Technology Service, Best Digital Innovation.
• 2017: Best WM Brokerage, Best Digital Services Award, Best Foresight Award
• 2016: Best WM Brokerage, Best Digital Innovation, Professionalism Award
• 2015: Best WM Brokerage, Best Services, Best Digital Development
• 2014: Best WM Brokerage, Best Financial Management Team

Wealth Magazine Wealth Management Awards

• 2020: Best Wealth Management, Best Services, Best Sales Team, Best Digital Finance, Best Wealth Value Added, Best Customer Recommendations, Best Creative Audio-Visual Marketing
• 2019: Best WM Brokerage, Best Services, Best Sales Team, Best Customer Recommendations, Best Digital Finance, Best Wealth Value Added, Best Print Marketing
• 2018: Best WM Brokerage, Best Services, Best Sales Team, Best Customer Recommendations, Best Digital Wealth Management
• 2017: Best WM Brokerage, Best Brokerage Services, Best Financial Management Team, Most Customer Recommendations, Best Video Marketing
• 2016: Best WM Brokerage, Best Financial Management Team, Best Potential