Subsidiary &
Associated Company
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Corporate Governance

Cathay Securities Corporation (hereinafter referred to as “the Company”) is committed to establishing an effective corporate governance framework; safeguarding the rights and interests of shareholders; strengthening the functionality of the board of directors; ensuring the effectiveness of supervisors; respecting the benefits of interested parties; maintaining good solvency, and improving the transparency of information. Taking into account the overall operations of the Company and preparing for changes in both the internal and external environment, the Company established an independent director system on 3 July 2007, aiming to further solidify its corporate governance.

Board of Directors

The board of directors of the Company comprises members with rich experience and professional expertise in finance, business administration and management. The two independent directors of the Company are, respectively, Edward Yung Do Way , Chairman, YCSY Co., Ltd.; and Wei-Kang Pan, Chairman of Modern Women's Foundation. Profiles of the directors

Supervisors

The supervisors of the Company shall exercise their rights and responsibilities in accordance with the relevant regulations, aiming to assist the board of directors to improve the effectiveness of corporate governance. Profiles of the supervisors

Anti-Money Laundering

  • 1Comply with rules related to Anti-Money laundering/countering the financing of terrorism (AML/CFT).
  • 2Establish an internal controls system.
  • 3Implement risk management
  • 4Employee training.
  • 5The independent audit department examines and presents in the report to Board of directors and Supervisors regularly.
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