To establish sound corporate governance and a culture of integrity, serving as a guiding principle for organizational decision-making and employee conduct, Taishin Securities follows the TS Holdings Ethical Corporate Management Best Practice Principles and the Taishin Securities Sustainability Policy. These regulations explicitly require that the Company's directors, managers, and employees, in the course of business activities, must not directly or indirectly offer, promise, request, or accept any improper benefits, nor engage in other acts of dishonesty, illegality, or breach of fiduciary duty to gain or maintain benefits.In addition, when providing financial products or services, the Company shall comply with the five anti-greenwashing principles. Any statements or sustainability-related disclosures should avoid containing exaggerated or misleading sustainability information that could mislead consumers and customers.

■Integrity Management Advocacy and Education

To embed the core values of integrity, honesty, and discipline throughout the organization, Taishin Securities follows TS Holdings' Employee Code of Conduct and has established its own Employee Code of Conduct, which applies to all employees of the Company. The code stipulates that any person who agrees to take a position at Taishin Securities is obligated, from their first day of employment, to comply with relevant laws, the Code of Conduct, and internal policies and procedures of each unit.

Employees are required to report any suspected violations of the Employee Code of Conduct to management or relevant departments. Taishin Securities continues to promote awareness of the Employee Code of Conduct through internal training programs and quarterly online communications, ensuring that all employees, including senior management, understand its contents. In addition, all new hires are required to complete the relevant online training within six months of joining the Company. All employees are required to sign a declaration confirming their commitment to comply with the Code. Any violation will be subject to disciplinary action in accordance with company regulations, thereby ensuring effective legal compliance and risk management.

Taishin Securities, in alignment with the parent company TS Holdings's Risk Management Policy and with reference to the “Risk Management Best-Practice Principles for Securities firms,” has established its own Risk Management Policy. Based on this policy, the Company has formulated relevant guidelines and procedures for various risk domains, including the Risk Management Procedures, Climate and Nature Risk Management Guidelines, and the Business Continuity Planning System. Additionally, Taishin Securities has adopted the Guidelines for the Detection of Major Risks in Financial Institutions issued by the financial Supervisory Commission to develop the Operational Risk Detection and Management Guidelines. These frameworks are designed to implement the Company's risk management philosophy and ensure the effective control and mitigation of risks.

As a leading brand in e-commerce within the securities industry, Taishin Securities recognizes the rapid development of information technology alongside the growing frequency of sensitive information breaches. The Company is therefore committed to enhancing its information security management to fulfill its responsibility in protecting customer privacy and personal data.To comprehensively strengthen its information security practices, the Company has established the position of Chief Information Security Officer (CISO) since 2022 to oversee information security management and be responsible for the planning, monitoring, and implementation of relevant policies and procedures.At the same time, the Company established the Information Security Implementation Task Force, with the President serving as the supervisor and the Chief Information Security Officer serving as the convener. The heads of each business division, the Legal Department, and the Risk Management Department concurrently serve as members of the team. The Task Force convenes at least one Information and Communication Security Management Meeting each year to oversee the Company's information security policies, the progress of related plans, and resolutions on major matters. External consultants with information security expertise are also engaged to participate in the meetings and provide advisory and technical support.

Furthermore, at the end of August 2025, the Company appointed Mr. Tun-Ren Lin, who has a professional background in information technology, as a director of Taishin Securities. By leveraging his expertise in both information technology and finance, the Company aims to further strengthen the Board's decision-making capabilities in information security governance and FinTech development, thereby enhancing its information security resilience in the digital finance environment.The Company's information security policies cover a wide range of areas, including software and hardware security, physical and environmental protection, access control, network security, system operation security, personnel security and training, information asset management, and business continuity planning. In alignment with ISO 27001 standards, the Company has established a four-tier framework encompassing policies, management guidelines, procedures, and forms. These policies are updated as needed to comply with regulatory requirements, respond to internal and external environmental changes, or reflect the Company's current operational status. The Information Security Policy is reviewed annually and, if any revisions are made, they must be approved by the Board of Directors before implementation.