Link Up MarketsClearstreamEuroclearTarget 2 Securities 4Thomas MurrayBloomberg GREAT()GREATDTCC EUROCCPDTCCCCILDTCC GCASD&CISIN D

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1 8.21 本公司舉辦新任(范董事長志強) 卸任(朱董事長富春)董事長交接典禮由本公司黃敏助監察人擔任監交人證期局李啟賢代局長應邀致詞並邀請證交所櫃買中心期交所等周邊單位貴賓到場觀禮本公司舉辦本年度第二次業務永續運作計劃(BCP) 模擬演練颱風休假日時各相關部室之應變處理及資料管制等控管作業程序 9.2 新加坡交易所(SGX)謝福華執行長一行人來訪拜會本公司范董事長及林總經理本公司邀請證券商從業人員舉辦北中南共8場次證券市場款券T+2日DVP交割作業座談會本公司派員至蒙古集保結算公司(MSCH&CD) 針對保管業務帳簿劃撥作業資訊系統及內部稽核與控制等議題進行業務交流

2 Link Up MarketsClearstreamEuroclearTarget 2 Securities 4Thomas MurrayBloomberg GREAT()GREATDTCC EUROCCPDTCCCCILDTCC GCASD&CISIN DTCC20083

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4 1. Link Up Markets 2. ClearstreamEuroclearTarget 2 Securities International Headline

5 1. Link Up Markets (Central Securities Depository, CSD)Link Up MarketsClearstream Services S.A Thomas Murray News Flash Clearstream Banking FrankfurtHellenic Exchanges Group IberclearOeKBSIS SegaInterSettleVPVPS CSDLink Up Markets2006CSD 12(576) % Link Up MarketsCSD 2009 Link Up Markets( ) (MiFID)(European Code of Conduct for Clearing and Settlement)TARGET2 Securities Clearstream Banking Link Up MarketsCSD () Link Up Markets CSDCSD CSD Link Up Markets 4

6 International Headlines 80% Link Up Markets30 Clearstream Services S.A.Clearstream Services S.A.Link Up Markets Tata Consultancy Services Luxembourg S.ALink Up Markets 2009 (STP)ISOECSDA Link Up MarketsCSD Link Up Markets Other CSDs Link up Markets Link Up Markets Other CSDs 5

7 2. ClearstreamEuroclearTarget 2 Securities ClearstreamEuroclear (European Central Bank) (Governing Council of the European Central Bank) Bloomberg Target 2 SecuritiesTarget (Central Securities Depository, CSD) DVP CSDTarget 2 SecuritiesCSD74 ClearstreamEuroclearOeKBNBB CDCRNCSDHELEX Bank of GreeceKDDIBERCLEAR Target 2 SecuritiesClearstream EuroclearTarget 2 Securities CSD2008 VPT2SVPC SIS ECSDKELERCentral Depository SA CDCPCSD 6

8 International Headlines 717Target 2 Securities Target 2 Securities CSD 3. (London Stock Exchange, LSE) Tokyo Stock Exchange, TSE (Financial Instruments and Exchange Act) Thomas Murray News Flash TSELSE LSEAlternative Investment Market, AIM LSEAIM ,657AIM TSELSE 7

9 Korea Securities Depository, KSD Thomas Murray News Flas Asian Proxy Voting Survey Presidential Decree of the Commercial Code KSD KSDKSD

10 , (53.9%) 39.6%38.6% 27.0%21.6%36.2% 12.9%11.5%21.5% 36.2% 9

11 % % 41.7%36.6% 30-59/8 10

12 % 64.3%50.8% 39.8%34.3%28.8% ( ) 600(6) (3)/( 1)(39.7%)(30.3%) (17.3%) (15.7%) 11

13 66.5%54.7%49.0% 49.0%DM41.0% DM , 21.0% //(27.0%) /(17.5%) (8.7%) 12

14 % 34.1%22.2% (66.1%)(67.3%)(65.7%) 39 5 (40.3%) / 13

15 , () : ~ 22 2.() 8;4;2/230~ ~ ,06720~6936.2%(386)

16 2008 GREAT GREAT Global Relations Exchange And TrainingEUROCCP DTCCCCILDTCCGCASD&C Electronic Voting ServiceISIN ISIN AssignmentDTCCWealth Management ServicesDeriv/SERV20083 Loan/SERV Relationship Management Wealth Management Services (DTCC) Managed AccountsSecurities and Exchange CommissionAlternative Investment ProductsMutual Funds DTCC DTCC DTCC (Fund/SERV)

17 NSCCNational Securities Clearing CorporationNSCC Fund/SERVFund/ SERV NSCC Fund/SERVDTCC Fund/SERV 22 NSCCFund/ SERV701 Fund/SERV () () Fund/SERV () () TT+1 T+3 () 16

18 2008GREAT () () Fund/SERVAutomated Customer Account Transfer Service (Mutual Fund Profile Service) NSCC DTCC () : 17

19 () () : (Managed Accounts Service) DTCC DTCC DTCC DTCC DTCC DTCC DTCC () () 18

20 2008GREAT () DTCC () () MMI () () DTCC (Alternative Investment Products) , ,380 DTCCNSCC NSCCAIP 19

21 NSCC AIP XML NSCC SEC NSCCNSCC SEC CFTCSEC AIPNSCC AIP DTCC () DTCC () 22 20

22 2008GREAT () () Fund/SERV DTCC 21

23 () Deriv/SERV T h e D e p o s i t o r y Tr u s t & C l e a r i n g CorporationDeriv/SERV DTCC 2003Credit Default Swaps CDSCDS DTCCDeriv/ SERV DTCC 800Deriv/ SERV Deriv/SERV 22

24 2008GREAT AffirmXpress Deriv/SERV 80% Deriv/SERV Warehouse Deriv/SERV () () Deriv/SERV 30 Deriv/ SERV DTCC Deriv/SERV 23

25 DTCC DTCC DTCC DTCC 1.5 DTCC DTCC9 Deriv/SERV10 Warehouse Deriv/ServDTCC DTCC DTCC Deriv/SERV 24

26 2008GREAT Deriv/SERV Deriv/SERVWarehouse DCTTDeriv/SERVWarehouse DTCC Loan/SERV DTCC2008 Loan/SERV 25

27 Bank of New York MellonTony DeAngelo Loan/SERV GREATDTCC Loan/SERV : () (Collateralized Loan Obligation) (Total Return Swaps) () () :DTCC SolutionsDTCC () Loan/SERV Reconciliation Service Loan/SERV () Loan/SERV 26

28 2008GREAT Loan/SERV () Loan/SERV () Loan/SERV () () () () () Loan/SERV Messaging Service 20084F p M L Financial products Markup LanguageLoan/ SERV Loan/SERV () DTCC SMARTSecurely Managed and Reliable Technology DTCC () DTCC SMART 27

29 () () () () () 85%(7%) Bank of New York MellonBarclays Capital Loan/SERV Loan/SERV Relationship Management Customer Satisfaction CBLC CDSL 3 DTCC Relationship Management 28

30 2008GREAT () () DTCC (day-to-day contacts) 3,000 (senior contacts) () () () () 29

31 () () (),,DTCC : () 88 () D T C C Electronic mainframe inquiry system () () Deriv/SERV90 10 () Deriv SERV () 30

32 2008GREAT 45, , ,000 Deriv SERV 225,000 CDSL() CDSL CDSL ,9955,363 1, ,000 CDSL () CDSL () CDSL SMART 31

33 () CDSL CBLC() CBLCDTCC CBLCBovespa Holding S.A. Bovespa Bovespa Holding S.ABMF S.A.BMF Bovespa S.A () CBLC CBLCCBLCnet CCP Investor's Electronic Channel,CEI () () () 32

34 2008GREAT () Tesouro DiretoCBLC () () () CBLC () a. b. () () () () () Tesouro Direto () () () () () () ()55% ()21% ()17% ()3% 33

35 ()4% () 6993 () 60 (57)6592 () 92 () 8415 () CBLC2003ISO 9001:2000 CBLC1997ISO 9002:1994 () ()320 () () CBLCISO 9001:2000 () ISO () () () () () () 2 () () 34

36 2008GREAT CBLC DTCC1986Fund/SERV KSDEuroclearClearstream DTCC DTCC ACGACSDACCP12 35

37 MiFID DTCC EUROCCP Link Up Capital Markets DTCC CBLCCDSL ISO94 DTCC 36

38 2008GREAT 8 8/06 38 () 8/09 2 () 8/11 3 () CNN 8/12 69 () EQ 8/12 9 () 8/13 76 () 8/14 2 () 8/16 2 () 8/18 2 () 8/19 36 () 8/20 5 () () () 8/25 () 8/27 75 () 8/29 () 8/30 ()

39 8.1 SGSISO9001:2000 TDCC Events T+2DVP (BCP) 8.21 ()() (MSCH&CD) 9.2 (SGX) 38

40 A - - ( 39

ClearstreamEuroclearBridge DTCC 2.525%NASDAQ OMX 5 Thomas MurrayDTCC GREAT()DTCC GREAT Global Relations Exchange And Training DTCC

ClearstreamEuroclearBridge DTCC 2.525%NASDAQ OMX 5 Thomas MurrayDTCC GREAT()DTCC GREAT Global Relations Exchange And Training DTCC 7.11 本公司假西華飯店舉辦基金產業發展及自動化趨勢研討會行政院金管會李紀珠副主任委員蒞臨指導並邀請國內外學者專家進行專題演講及座談 7.16 中國金融期貨交易所朱玉辰總經理率員來訪拜會林總經理並交換業務心得 7.12-21 朱董事長拜訪波蘭結算保管公司(KDPW)Mr. Slawomir Panasiuk 洽談雙方業務運作與未來合作方向 7.18-20 本公司參加 97年臺灣區第40屆金融杯羽球錦標賽