Privacy Statement

Yuanta Financial Holdings (hereafter, "the company") respects and strictly safeguards the right to privacy, and seeks to ensure that its corporate website and the services provided therein may be used with complete confidence. The company has therefore established this page to explain the privacy protection policies of this website, and to reiterate the responsibility and respect with which the company handles all personal information that is entrusted to us.

1. Collection of Customers’ Personal DataThe Company and its subsidiaries possess your personal data from the time you become a customer of any of its subsidiaries, or if you provided your personal data while participating a sales promotional activity, or if the Company and its subsidiaries obtained such data from any other legal or public channel.
2. Storage and Protection of Personal InformationIn order to protect the privacy and integrity of your personal information, the company strictly adheres to relevant government regulations and information management principles. Your personal information will be stored by the company or by a commissioned party in accordance with the highest levels of security and stability; access to this information will be strictly limited to individuals with the necessary authorization. Furthermore, the company makes use of the appropriate technologies and organizational safety measures to ensure that your personal information is not lost or illegally handled. The company will not provide your personal information to any person other than those specified by the company or within this statement, with the exception of judicial officials or regulatory authorities applying for such access through the relevant legal channels.
3. Searching, Accessing, and Deleting Personal InformationUnless otherwise specified by legal regulations, you may use the methods and procedures delineated by the company to exercise the following rights:
   
   (1)

   Request to search, access, or receive a copy of your personal information from the company (the company reserves the right to charge to meet the costs of such procedures).
   (2)

   Request that the company supplement or correct your personal information with a valid explanation.
   (3)

   Request that the company cease collecting, handling, or using your personal information, or request that it be deleted (in such cases, the company would heed the request except when deemed necessary by the company's operations).

4. Self-Protection MeasuresPlease reserve all relevant documents, passwords, and personal information for safekeeping, and ensure that such information is not provided to a third party. After using any of the services provided on the company's website, please remember to log out of your account; if you are using a shared or public computer, be sure to close the browser tab to guarantee the privacy of your personal information.
5. Amendments to This StatementIn keeping with societal changes, business needs, technological advancements, and changes in legal regulations, the company will occasionally make amendments to, or announcements regarding, this statement. Please visit the Privacy Statement page on the company website to preserve your rights and interests.
6. Privacy and Information Security DeclarationIn order to protect users' personal information and maintain internet privacy rights, we encourage users with questions or concerns regarding this Statement or their personal information to contact us via email (servicefh.fhc@yuanta.com) to receive a more detailed explanation from the company.
7. Copyright NoticeThe company maintains legal rights to all content appearing on its corporate website, and may not be reproduced or reprinted in any form or by any means, either electronic, mechanical, photocopying, recording or otherwise, without the prior authorization or consent of the company.

Yuanta Futures Declaration of Receipt of Notification Regarding Matters under Article 8 of the Personal Information Protection Act

Yuanta Futures, in collecting Client's personal information, hereby gives notice to Client of the following matters in accordance with Article 8, paragraph 1 of the Personal Information Protection Act:

1. Purpose of information collection:
   (1)

   For the operation of businesses approved by the competent authority for the relevant industry and the registered lines of business or businesses specified in the articles of incorporation, including the related financial businesses of futures brokerage, futures advisory business, managed futures enterprises, leverage transaction merchants, and securities introducing brokerage (statutory specific purpose items 166, 181, and 182)
   (2)

   Collection, processing, and use of personal information in accordance with law and regulation and the needs of financial supervision, in accordance with statutory duty, in accordance with business and marketing under a contract, quasi-contract or other legal relationship, and for customer management and services (statutory specific purpose items 040, 059, 063, 069, and 090).
   (3)

   To comply with Foreign Account Tax Compliance Act (FATCA), Money Laundering Control, and Anti-Money Laundering and Countering Terrorism Financing control measures.

2. Categories of personal information:In accordance with the "Specific Purposes and Classifications of Personal Information Under the Personal Information Protection Act" publicly announced by the Ministry of Justice, the categories of personal information connected with operation of a business are: (C001) Identifying individuals; (C002) Identifying financial matters; (C011) Description of individuals; (C031) Residences and facilities; (C032) Properties; (C038) Occupations; (C081) Earnings, income, property, and investments; (C083) Credit ratings; and (C086) Negotiable instrument credit information.
3. The time period, region, recipients, and methods of use of personal information:
   (1)

   Time period: Within the duration of the period of business operations approved by the competent authority, when in conformance with any one of the following conditions:
   • The period of duration of the specific purpose for collection of personal information.
   • The period of retention of the information in accordance with relevant laws and regulations or contract stipulations (e.g., the Business Accounting Act).
   • The period of retention necessary for the conduct of business by Yuanta Futures.
   (2)

   Region: Regions relevant to business activities for the businesses approved by the competent authority and its registered lines of business or businesses specified in its articles of incorporation, and the relevant applicable regions necessary to achieve the purposes of collection, processing, and use of the information: including regions in which are located Yuanta Futures, Yuanta Futures's branches, subsidiaries affiliated with Yuanta Futures, any parent company with a controlling relationship and its branches or related companies in the same business group, institutions or consultants which have entered into contracts with Yuanta Futures or the aforesaid companies due to business needs, and regions in which, due to the needs of international transmission of personal information, are located recipients of the information that are not subject to the restrictions of the central competent authority for the target industry.
   (3)

   Recipients:
   • Yuanta Futures, Yuanta Futures's branches, subsidiaries affiliated with Yuanta Futures, any parent company with a controlling relationship and its branches, or related companies in the same business group, and institutions (including for cross selling or cooperative promotions) or consultants (including attorneys and CPAs) which have entered into contracts with Yuanta Futures due to business needs or which have business dealings with Yuanta Futures or the aforesaid companies, and assignees who have received permission from the competent authority to take assignment of all or a part of the business of a securities firm.
   • Agencies responsible for financial supervision or which under the law have investigative powers or may exercise public authority; securities and futures exchanges, the GreTai Securities Market, the Taiwan Depository & Clearing Corporation, securities industry associations, stock issuers, settlement banks, the Taiwan Clearing House (for dividend distributions), the Taiwan Integrated Shareholder Service Company, and related institutions authorized under law and regulation to handle shareholder services matters, and other related institutions designated by the competent authority for the target industry, including those connected with business operation, supervisory and management inspections, issuance, purchase and sales, credit checks, trading, settlement, and shareholder services, as well as the financial supervisory agencies and the agencies duly exercising public authority which have jurisdiction over those entities listed under Point '1' as recipients for use of the information.
   • Other recipients agreed by Client.
     Method of use: Use undertaken by means of automated equipment or other non-automated methods, including but not limited to:

     1. use in written or electronic form.

     2. international transmission.

   (4)

   Client, with respect to the personal information held by Yuanta Futures, may demand of Yuanta Futures the exercise of the following rights:
   • Enquiries, requests for review, and requests for issuance of copies of the personal information, for which Yuanta Futures may collect necessary fees for costs in accordance with the law.
   • Requests to correct or supplement the information, provided that Client shall provide an appropriate explanation in accordance with the law.
   • Requests to halt collection, processing, or use, or requests for deletion of the personal information, provided that, in accordance with the law, as required for the conduct of business, Yuanta Futures need not accede to Client's request.
   (5)

   If Client refuses to provide personal information, Yuanta Futures will be unable to carry out the review and handling operations and other related services necessary for its business; Yuanta Futures therefore may refuse to accept business dealings involving Client and any application for or handling of other related matters. Furthermore, if Client refuses to provide personal information or provides insufficient information as required for the compliance of FATCA in the event that Client has been identified as recalcitrant account holder, Yuanta Futures will be able to take any reasonable action to comply with FATCA.