YUANTA 2015 FUTURES CORPORATE SOCIAL RESPONSIBILITY REPORT www.yuantafutures.com.tw

01...05 02...15 03...23 04...35 05...43 06...57 07...61...71 2015 ( 2015 1 1 2015 12 31 ) (Global Reporting 2016 6 225 11 12 www.yuantafutures.com.tw futures@yuanta.com 02-2717-6000 02-2546-1625 Initiative, GRI) ( GRI G4)GRI G4 (ISO 26000) 2 3

01 5

2015 12 2015 90% App 9 6 7

2015 2030 COP21 1) 2) MA 8 9

5) 2015 / 2015 EPS 3.35 3) 1. 2015 100% 2. e 100% 50 4) CSR 1. 3 2. 3. 2012 2015 33 253 1. 2. 10 11

6) 2015 AA1000 GRI G4 5 8.5 5 8 7) 18 20 16172441 63 24272841-28 28 41 41-37 38 49 55 48 53-5154 4546 4547 63 65 2728 38 39 12 13

02 15

1997 20 11 5 ( APP ) FCM SMART (Spearhead the trend) (Manage the risk) (Analyze with experiences) (Reward by success) (Tailor your solutions) e 24 APP 2015 93% 155 IB 20 IB 219 IB ( ) IT IB IB IB 20 219 56% IB 13 5 2 2015 / 2,425 2014 11 CMECBOTNYMEX COMEXSGX EUREXTOCOM ICE NYSE(LondonParisU.S.) 22 24HR IT 22 24hr 16 17

1) ( ) 56,851,852 ( ) 2,929,929 ( ) 6,777,107 ( ) 2,322,763 ( ) 29.18 ( ) 777,093 EPS( ) 3.35 20.89% 12.18% 29.87% 248 (%) (%) 3000 633.87 650 2525.78 2500 596.18 576.78 600 556.84 2165.92 2000 1938.44 550 523.45 1413.23 1500 500 1139.87 1000 450 2) 2011 2012 2013 2014 2015 (%) (%) 50 40 46.85 32.08 120% 115% 115.56 117.46 119.08 200% 30 20 28.53 30.16 29.18 110% 114.71 109.67 150% 100% 147.9 127.8 132.21 143.25 72.45 10 105% 2011 2012 2013 2014 2015 2011 2012 2013 2014 2015 50% 2011 2012 2013 2014 2015 18 19

3) 2015 2014 (%) (%) $2,715,679 92.7 $2,052,421 90.3 $121,807 4.2 $111,567 4.9 $90,325 3.1 $97,032 4.3 $13,770 0.5 $7,077 0.3 $5,386 0.2 $10,137 0.4 $3,398 0.1 $3,588 0.2 $0 0.0 $52 0.0 (FIA) $-20,436-0.7 $-7,840-0.3 $2,929,929 100.0 $2,274,034 100.0 Futures Industry Association 2015 2014 2013 2012 ROA (%) 1.64 2.33 1.72 1.49 ROE (%) 10.93 12.05 9.59 9.29 (%) 26.52 38.3 27.28 21.61 EPS ( ) 3.35 3.75 2.82 2.56 Taipei Neihu Technology Developement Association 20 21

03 23

( ) ( ) ( ) ( ) ( ) ( ) ( ) ( ) ( ) ( ) ( ) ( ) ( ) ( ) ( ) ( ) 24 25

IPO 23 2 3 3 2015 8 95.83% ( ) 3 1 2015 17 96.08% 26 27

2015 8 (Risk ( ) 2015 Adjusted Return on Capital ) 28 29

/ / VaR / / / (VaR) / 30 31

EPS2.5 5% 5 4.30 4 3.75 3.56 3.35 3 2.82 2.40 2.51 2.64 2.28 2 2.07 1.54 1 0.25 0 2011 2012 2013 2014 2015 10% 8.04% 6.52% 6.27% 5% 5.39% 5.04% 0% 2011 2012 2013 2014 2015 32 33

04 35

248 24 ETF 11 CMECBOTNYMEXCOMEXEUREXICE TOCOMSGX NYSE (LondonParisU.S.) 88.35% 86.15% 90% e 2013 2014 2015 ( / ) 2015 12 ( ) ( ) 5,288 4,509 3.3 2.5 2013 2014 3 8,518 2015 36 37

888 VIP API EasyWin 888 API Yeswin APP 2014 8 APP 24 APP 2015 App APP 64.34% 28.68% 93% APP 38 39

A50 20,000 15,000 10,000 5,000 0 CFTC CFTC 7,814 9,976 12,571 13,541 15,539 2011 2012 2013 2014 2015 Facebook 2015 8 8,000 24 24 22 2015 IP 40 41

05 43

2015 336 17 125 2015 169 0 0 8 2015 362 38 8 193 47% 53% 0 11 0 (26%) 2015 Little Girl Big Dream( LGBD) 19 (%) 20 47% 53% 2015 GDP 362 1.5% 2015 70 14 4% 44 45

2015 2015 / 30 0 30-50 6 51 ( ) 5 11 30 0 30-50 22 51 ( ) 4 26 24 30 29 30 23 46 30-50 118 30-50 134 51 ( ) 11 51 ( ) 10 158 167 (%) 27 30% 70% 29 14 38.1 2015 38.9 49% 51% 2014 348 4 % 2015 46 47

1) 2) 2012 2012-2015 33 253 8% 2009 2009 2010 2011 2012 2014 2015 2015 7 SOP 2 3 3) Excel 48 49

104 2.5 9 / 104 2.5 7 ( / / / ) 3-15 201 7.5-15 38 3 8 EXCEL 14 1 ( / / ) 9-12 121 / 4 2 12 2 3 3 / / / / / 104 21 10-3 1 21 1 7 1 / / / 104 ( / ) 3 11 / / / / 104 21 8 27 2 104 E ( ) 104 / / / / / 3 35 0.5~1 360 50 51

4) e-learning 100% 1/6 5) 26 85% 49% 31% 4% 2% 308 178 111 16 8 15% 4% 0.5% 0% 54 16 2 1 CPA 52 53

1) 2) 2015 2014 2015 ( ) (IR) (AR) 0 0 2 2 2.82 329.13 0.37 0 0 0 0 0 208.38 0.23 0 0 2 2 2.82 537.51 0.6 1) 2001 12 + ( ) 2015 4 2014 12.5% 125 37,308 41,990 2014 2015 125 117 2014 2015 1 2 12 54 55

06 57

/ 58 2015 12 2100 2 / E / / Facebook / 2014 113 2015 159 2 5 406 4.3 50 T8 T5 30% LED ( ) 4 6 2015 59

07 61

KPIKey Performance Indicators KPI KPI KnowledgePassion Initiation 1) 2015 62 63

2) 2015 4 65% 85% 3) 2014 11 2015 5 15 30 ipad Air 64 65

1) 2012 2) 3) 4) 2015 55 165 5) 2015 153 66 67

1) 2015 1 10 50 2) 2015 1 31 331 250 9 19 332 242 5) 3.0 6) 15 800 3) 4) 2015 10 68 69

71

GRI 4.0 G4-1 6 7 G4-2 68 29 31 G4-15 8 G4-3 16 G4-16 ( : ; ; 21 G4-4 16 17 G4-5 80 G4-17 ; ) a. b. 18 20 G4-6 ( ) 1737 G4-7 2425 G4-18 a. b. 3 G4-8 ( / 17 G4-19 1213 G4-24 11 G4-9 1. 2. 3. - 4. 5. 16 19 G4-26 G4-27 11 1113 G4-10 45 G4-11 55 G4-12 59 G4-13 285968 G4-14 29 31 G4-28 ( ) 3 G4-29 ( ) 3 G4-30 ( ) 3 G4-31 3 G4-32 / 3 72 73

G4-34 24 27 G4-47 2429 G4-35 G4-36 24 27 24 G4-49 1127 G4-50 1127 G4-51 27 G4-37 11 G4-38 25 G4-52 27 G4-39 25 G4-56 28 G4-40 24 G4-57 28 G4-41 24 G4-58 1127 G4-42 24 G4-43 24 G4-44 24 G4-45 2429 G4-46 2429 74 75

DMA 929 G4-EC1 ( ) 1820 G4-EC2 58 G4-EC3 55 G4-EC6 52 G4-EC8 29 G4-SO1 62 69 G4-SO4 51 G4-SO10 59 G4-PR3 3839 G4-EC9 59 G4-EN3 59 G4-PR4 41 ( ) G4-EN6 59 G4-PR5 38 G4-EN7 59 G4-EN16 ( 2) 59 G4-EN19 59 G4-PR7 G4-PR9 ( ) 41 ( ) 41 ( ) G4-EN29 59 ( ) G4-EN30 59 G4-EN33 59 G4-LA1 G4-LA2 55 G4-LA6 G4-LA9 5051 47 54 FS-1 27 2941 FS-2 39 31 FS-3 38 39 FS-4 8 13 FS-5 8 13 4059 FS-6 ( ) 161737 FS-7 40 41 FS-8 37 39 G4-LA10 50 53 FS-9 31 G4-LA11 54 G4-LA12 G4-LA16 112754 G4-HR3 ( ) 48 54 ( ) FS-10 2428 4158 6668 69 FS-14 4963 FS-15 28 FS-16 63 65 76 77

2015 1 2015 4 800 6 4548 49 7 8-5 ( ) 10 5566 67 63 65 45 18 20 46 55 810 59 59 9 The Asset (Best Futures House, Taiwan) (FOW) (NON-BANK FCM OF THE YEAR) 5 1345 58 59 78 79

/ 104 225 11.12 02-2717 - 6000 300 373 B1 1 03-666 - 2558 400 8 4 1 04-3703 - 3368 704 147 4 06-235 - 5999 801 143 7 1 07-215 - 7777 www.yuantafutures.com.tw ( ) 18 23 + 852-3555 - 7623 80