98 CONTENTS 04 12 20 26 31 39 43 48 54 ( ) 2008 58 63 67 68 72 76 77 81 83

WTO

04 2009 TAIWAN SECURITIES ASSOCIATION WTO ( ) 1980 1990 1112 1999 5 20 2001 12(WTO) WTO B 33% 3 49% 1/3 A B H WTOWTO ( ) ( ) ( ) 1999 5 2001-2005 2006 1 1. 6 2. 36 42

98 05 3. 76 86 4. ( ) 5. 6. 7. (1) ( ) (2) 3,000 (3) 25 4 10 (4) 8. 2 (1) (2) (3) (4) (5) (6) (7) ( ) 200170% 2005 6 1,000 2005 9 1. 2/3 2. 3. 12 12 5 24 10 ( ) 2002 7 WTO2005 33% 49% 2004 ( ) 2008 1

06 2009 TAIWAN SECURITIES ASSOCIATION 1. ( ) ( ) ( ) 2. (1) (2) (3) 30 (4) (5) (6) 3. (1) (2) 1 (3) (4) (5) (6) (7) 4. ( )1/3 1 1/3 1/3 5. 1 1/3 6. ( ) 20 ( ) 25 ( ) 2002 (Qualified Foreign Institutional Investor, QFII) 2006 8 QFII

98 07 3002008 2 79 QFII 1. 30 10 100 2. (1) (2) (3) (4) (5) 3. 10% A 20% 4. 31 ( ) 2006 7 (Qualified Domestic Institutional Investor, QDII) QDII375 2009 2 24 10 1. QDII (MOU) 2. 10 3 ( ) 2006 6 50 130 6 ( ) 2009 35 1.

08 2009 TAIWAN SECURITIES ASSOCIATION 2. 1,000 500 5,000 30% 3. 2,000 4. 3,000 5. ( ) 2007 8 2007 11 3 (2001.1~2009.3) 6500 6000 5500 5000 4500 4000 3500 3000 2500 2000 1500 1000 HS0902 2001 2006 1,3002008 10 6,124 2007 2008 2008 101,664 72.83% 2010 4 8% 2009 3 2,373 42.61%

98 09 2006 2007 2008 (A B ) 1,507 1,550 1,625 (B ) 109 109 109 (H ) 143 148 153 () 14,897.57 22,416.85 24,522.85 () 5,637.79 10,331.52 12,578.91 () 89,403.90 327,140.89 121,366.44 () 25,003.64 93,064.35 45,213.9 () 90,468.69 460,556.22 267,112.64 () 375.39 1,903.12 1,085.82 () 2675.47 5,261.56 1,820.81 () 550.59 1,447.02 553.3 A 33.38 59.24 14.86 A 33.61 72.11 17.13 2008 1,625 A B109 B153 24,522.85 12,578.9151.29% 2006 37.84% 121,366.44 45,213.937.25% 1,085.82 2008 65.41%61.78% A 200759.24 14.86 A 200772.11 17.13 2008 2008GDP -3.8% -1.5%-12.7% 6.8%2010 4 GDP 16% GDP8%4.6% 2009 3 2,373

10 2009 TAIWAN SECURITIES ASSOCIATION 2008 10 6,124 2005 9 99% 50% 5 1013 16 2006 9 (300) 2008 H A B H H A B H B B A B B A B A B 1998 19985 2008473

98 11 107 2007 3 2,754 2008 1 9,380 10180 ( ) 2008 2020(1) (2) (3) (4)

12 2009 TAIWAN SECURITIES ASSOCIATION 21 1997 1324 12 2002 (MOU) 24 1994 13 v 1997 v v 1998 v v 1998 v 1999 v 1999 v v v v 2000 v v v 2001 v v 2001 v v 2002 v 2002 v v v 2004 v 2005 v 2006 4 13 4 1 1 1

98 13 (WTO) 2003-2007 10%2008 9% 10 2001 2008 2008 17,116 2,508 10 103.84% 33.54% 10 9.8%3 11.2%GDP - 0.12 9 3.54 11.2 4.07 10.7 3.84 9.8

14 2009 TAIWAN SECURITIES ASSOCIATION 1 9,460 ( ) 2008 ( ) 1,257 ( ) 1,625 2001166 2008 55 84% 10 1999-2005 2006 2007 6.5 52008 5 4.5 10 2,018 516 75%

98 15

16 2009 TAIWAN SECURITIES ASSOCIATION 1968 4 1998 12 2001 2004-2006 2008 20 62% 20 85% 20 20 70% 20 100% 2008 % 1 150,332 6.19 59,331 11.13 2 127,924 5.27 27,949 5.24 3 112,707 4.64 22,695 4.26 4 104,335 4.30 22,324 4.19 5 101,485 4.18 22,172 4.16 6 95,473 3.93 20,325 3.81 7 93,866 3.86 19,750 3.70 8 90,810 3.74 19,360 3.63 9 80,747 3.32 17,591 3.30 10 79,494 3.27 17,100 3.21 42.7 46.63 TOP1-20 62% TOP1-20 70%

98 17 107 9 A A B 2008 % 1 5,597 17.64 148 25.30 2 3,280 10.33 126 24.76 3 2,578 8.12 52 8.92 4 2,250 7.09 47 8.08 5 2,211 6.97 30 5.19 6 1,365 4.30 28 4.69 7 1,056 3.33 23 3.87 8 1,054 3.32 20 3.44 9 1,032 3.25 19 3.16 10 897 2.83 16 2.75 67.18 90.16 TOP1-20 85% TOP1-20 100% 3 1 1995 4 2 2002 1 3 1996 4 4 2002 12 5 2004 6 6 2004 11 7 2006 12 8 2008 6 9 2009 1

18 2009 TAIWAN SECURITIES ASSOCIATION 89 17 MOU ( ) 1962 1990 1997 2000 2008 20 2006 ( ) ( ) - ( ) ( )( ) ( ) KYC(Know Your Customer) ( ) ( )

98 19 2008 2007 A ( ) 20% ( ) MOU 13 ( )

20 2009 TAIWAN SECURITIES ASSOCIATION 2007 1.62EPS 5.95 1.422008 EPS -0.201 MOU MOU 2008 ( ) (2008 6 26 1. 2. ETF ETF ETF ETF 3. ( )

98 21 ( ) TDR 4. MOU 5. 0.4% 10% H10% ( ) (2008 7 31 ( ) ( ) 20% (QDII) MOU QDII 3% QDII11.25 (337.5) QDII MOU ( ) (2008 8 4 MOU 9 10% 20% 25% 49-1 1. 2. 3. ( ) (2008 12 4 ( QDII)

22 2009 TAIWAN SECURITIES ASSOCIATION 1. 2. 3. ( ) 9 20% 20% 33% 2008 20% 60% ( ) ( ) (100%ETF) ( ) 31-1 - 0930000001 ETF (MOU) MOU MOU MOUQDII 3% 10% QFIIETF 5AB A

98 23 10 25 33% 20% 1079 AA B A 33% 9 MOU 2008 3 3 33% 51% MOUQDII 10% WTO A

2009 TAIWAN SECURITIES ASSOCIATION 24 2008 15%25 15% 10% 70-1 10 5,000 () MOU MOU 2002 2008 ( )

2 ( ) 2008

26 2009 TAIWAN SECURITIES ASSOCIATION 1 ( ) () 2 1 2 98 2 9( )09830000910

98 27 3 ( ) 4 3 CFA InstituteCode of Ethics and Standards of Professional Conduct Certified Financial Planner Board or Standards CFP Board's Standards of Professional Conduct (October 2007) available at http://www.cfp.net/downloads/2008standards.pdf.

28 2009 TAIWAN SECURITIES ASSOCIATION 5 6 (Certified Financial Analyst Institute) (Code of Ethics) (Standards of Professional Conduct) 7 (1) (2) (3) (4) (5) 4 5 5 3342 6 33 7 See CFA INSTITUTE CENTRE, CODE OF ETHICS AND STANDARDS OF PROFESSIONAL CONDUCT (June 2005).

98 29 (6) (7) 8 (Legal Compliance Officer) 9 20(a) 8 Id. 9 15 U.S.C.A. 78t. Section 20(a) of the Securities and Exchange Act: (Liability of controlling persons and persons who aid and abet violations) (a) Joint and several liability; good faith defense Every person who, directly or indirectly, controls any person liable under any provision of this chapter or of any rule or regulation thereunder shall also be liable jointly and severally with and to the same extent as such controlled person to any person to whom such controlled person is liable, unless the controlling person acted in good faith and did not directly or indirectly induce the act or acts constituting the violation or cause of action.

2009 TAIWAN SECURITIES ASSOCIATION 30 ( ) 1725 ( )

98 31 (IB) (2009) 2 4 1 ( Financial Investment Services and Capital Markets Act FSCMA) ) (Big Bang) 2003 2003 (Korea Development Institute,KDI) (Korea Security Institute,KSI) (Korea Financial Institute,KFI) 4 4 13 1

32 2009 TAIWAN SECURITIES ASSOCIATION 1 ( ) ( ) ( ) ( ) ( ) 2007 7 32007 8 3 2009 2 4 ( )

98 33 ( 1) ( ) 21 4 ( 1) ( ) ( ) 1 21 4 (OTC) ( ) ( ) (OTC)

34 2009 TAIWAN SECURITIES ASSOCIATION () 2 ( ) (Product Guidance) (Suitability) (home-shopping) 2 1

98 35 3 () 70 20 (Korea Big Bang) 1997 11 ( )

2009 TAIWAN SECURITIES ASSOCIATION 36 (cross-selling) 2009 2 4 ( ) ( ) 4

98 37 2009 2 4 2008 ( ) ( 3,000 ) ( ) ( ) ( ) ( ) ( )

2009 TAIWAN SECURITIES ASSOCIATION 38 10 1998 2005 7 2009 2 4 2008 8 ( )

98 39 (Securities borrowing and lending)( ) () ( )85 9 92 6 94 6 27 95 1 60 8 ( ) 97 4

40 2009 TAIWAN SECURITIES ASSOCIATION (+ ) ( ) (over the counter) (International Securities Lending Association) ( ) ( ) 97 4 ( ) 98 2 97 1097 10 27.25 2.34 % 97 10 39.89 14.44 %

98 41 ( ) 2 ( ) 22 1. 2. 3. ( ) 33 ( ) 60 ( ) 1. 5 ( )

42 2009 TAIWAN SECURITIES ASSOCIATION ( ) 2. (1) (2) () ( ) 60 ( )

98( ) 43 86 6 12 86 ( ) ( ) 97 12 10,908 ( 2007 6,100 1 2007 730 4 2007 77 ) 96 12 2897 12 29 ( ) ( ) ( ) ( )( ) ( )( ) 20%( ) ( ) ( ) ( ) ( ) ( ) 96 12 28 ( ) (A- )

44 2009 TAIWAN SECURITIES ASSOCIATION ( ) ( ) 97 2 14 50ETF 97 7 17 550ETF ( ) 86( ) ( ) ( ) 97 12 29 ( ) 81 ( ) 11 ( ) ( ) ( ) ( ) ( ) ( ) ( ) (1. 10015 80 20% 2. 10% 30% ) 91 2 ( 2001

98( ) 45 2002 2007 ) ( ) 98 1 5 ( )( ) ( )( ) ( ) 94 8 11 (tailor-made) 7.5% 94 8 9(94 395 696 097 0 ) ( ) 96 12 27 7.5% 3% ( ) 17.5% 22% ( ) ( ) 96 12 27 ( ) ( ) 888888-8

46 2009 TAIWAN SECURITIES ASSOCIATION ( ) 20%( ) 20% 97 10 29 20% ( ) 55 ( ) 98 1 5 ( ) ( 25 ) ( )

98( ) 47 ( 12 ( ) Euronext) () (AMS/3) AMS/3 ( ) ( )

48 2009 TAIWAN SECURITIES ASSOCIATION () 188 188 188 184

98 49 188 57 1663 188 ( ) 188 ( ) ( ) ( ) ( ) 90 1991 188

50 2009 TAIWAN SECURITIES ASSOCIATION (89 1149 89 2539 93 1484 94 60 94 271 95 2 ) ( ) 188 1 ( ) ( ) 188 1 ( ) ( ) (87 1580 88 2229 92 485 93 82 93 82 96 40 ) ( ) ( )

98 51 ( ) 188 ( ) 188 ( ) () ( ) ( )( )

52 2009 TAIWAN SECURITIES ASSOCIATION () ( ) () ( ) SOP ( ) 18 ( ) 1. 2. 94 3

98 53 ( ) 188 ( ) 50% ( ) ( )

54 2009 TAIWAN SECURITIES ASSOCIATION 2008 3 2 200870 (MOU) 3 0 113 1987 1997 ( ) (1997) (1987) (1991) (1991) (1992) ( ) 1997-1998 ( ) (2001) ( ) 1. 55%

982008 55 2. 35% ( ) 1. GDP9% 2. 7% ( ) 86% 86% ( ) (Spread) L I B O R ( ) 9 1 0 1 0 10 G7 LIBOR0.2% 10 4.6%23 0.9% ( ) (VIX Index) 10 10 11 808 40 ( ) 11 0 5 0 % ( ) 7147 123130-40 2008 ( ) 12 10% ( ) 9 0.25% 1% 0.1% 1.25% 5.31% 2.5% 1.

56 2009 TAIWAN SECURITIES ASSOCIATION 0%- 0.25% 5% 2. 10-11 (1,7492,522 ) 4 4. 2 % 21.7%(3,9554,817 ) 3. ( ) 1. GDP GDP 12.7%3.9% 15% 3.8% 13% 8.6% IMF2009 GDP 2% 2. /GDP 33% /GDP 200% 3. 1992 9 10 1%6 12 0.25% 0.3%0.1% 72 12% -19% -28% +7.4% +0.2% -31% 72

982008 57 30% 1930 1920 GDP 3.53%1930-0.3% 5 16 ( )

58 2009 TAIWAN SECURITIES ASSOCIATION ( ) 3 1.2 98 4 1 ( ) 5 98 2 3 ( ) 3 3 98 2 11 ( ) 98 3 9 ( ) 98 2 2 ( ) 79 1 63 1

98 59 98 3 16 98 3 23 ( ) (APG) 98 3 26 ( ) 98 2 2 ( ) 20% 25% 30% 35% 98 3 20 ( ) ( ) ( ) 98 4 6 ( ) () 99 ( ) 98 1 20 ( ) 98 2 11 ( )

60 2009 TAIWAN SECURITIES ASSOCIATION () 98 3 20 79-1 98 3 12 ( ) 22%98 1 5 ( ) 98 1 2298 2 13 () 98 () ( ) ( ) 98 3 26( ) ( ) ( ) ( ) ( ) ( )

98 61 ( ) 98 2 27 ( ) ( ) ( ) ( ) 98 3 30 ( ) 98 2 19 ( ) 98 3 9 ( ) ( )

62 2009 TAIWAN SECURITIES ASSOCIATION 791 15 ( 631 15 ) ( ) 3 1 ( ) 143 ( )

98 63 ( ) 130 130 ( ) ( ) ( ) ( ) ( ) 19 3 193

64 2009 TAIWAN SECURITIES ASSOCIATION ( ) ( ) ( ) ( ) 1%~2% 20% ( ) ( )( ) ( ) ( ) ( ) ( ) ( ) ( )( ) ( ) ( ) ( )( ) ( ) 9-1 ( ) 97 12 29 ( ) ( ) ( ) ( ) ( )

98 65 ( ) ( ) ( )( ) ( ) ( ) ( ) ( ) ( ) ( ) ( ) 7 282 ( ) TDR TDR ( ) ( ) ( ) 20-1 98 12 31 99 1 1

66 2009 TAIWAN SECURITIES ASSOCIATION ( ) 18 18 40% 40% 60% 60% ( ) ( ) ( / ) NT$8,700 ( ) 6 ()

98 67 ( ) 2 16-19 (MOU) - ( ) 3 2 97 180 ( ) 3 10 (1) (2) (3) ( ) 97 12 98 3 98 3 31 6 7 8 9 ( ) 3 31 ( ) 3 20 (Hong Kong Stockbrokers Association, HKSA)

2009 TAIWAN SECURITIES ASSOCIATION 68 1 261 18222 65 56 2 2 1823 65 56 1 3 22 181 19 11 314 181 3 40 9497 663 3 56 1 4 18214 22 9497 65 56 3 5 22 65 6 11912 271 11912 12

98 69 7 22 121 183 65 56 3 3 8 18210 11 65 56 9 22 1827 11 65 56 1 10 565 11912 22 552395 10 18 0950132780 11912 12 11 1823 7 11 65 56 1 12 1827 9 11 17 65 56 1 13 22 () 65

2009 TAIWAN SECURITIES ASSOCIATION 70 14 22 1000 65 15 22 18211 3 65 56 1 16 22 18219 65 56 1 17 183 22 56 2 18 22 18210 11 13 3 65 56 2 1 6 19 22 65

98 71 20 21 22 23 31 19 20 1 22 Permal 183 22 661 661 65 65 56 1

72 2009 TAIWAN SECURITIES ASSOCIATION 01 01 98 1 1 01 08 1 8 6000 2000 01 14 01 19 XBRL XBRL 01 21 3 02 02 2 2T+2 (DVP) 56 02 04 2 4 GDP-11% 02 06 02 06 ( )98 6 30 ( )

98 73 02 06 02 06 97 02 11 3 98 2 11 02 11 61 02 16 2 16-19 02 16 ( )8 02 17 22 02 18 ( ) ( ) 98 6 30 ( ) () 02 19 02 19 41

74 2009 TAIWAN SECURITIES ASSOCIATION 02 24 02 24 49( ) ( ) (22 ) 02 27 03 02 3 2 03 09 98 3 9 98 1 5 98 3 6 03 09 e-mail 03 10 3 10 03 11 ( 200 10% 4 ) 98 3 11 03 20 (HKSA)37 03 31 97 12-98 3 98 3 31 03 31

98 75 03 31 98 1 19 98 1 19 98 1 19 98 2 24 98 2 24 98 2 24 98 2 24

76 2009 TAIWAN SECURITIES ASSOCIATION 01 13 MSCI Barra MSCI 10%6-18 01 14 (Citigroup) 02 01 (ETF) ETF A 02 23 2 22 02 26 2 26 03 13 3 61 03 24 (IMF) (SDR) SDR 03 31 IPO (IPO) IPO5 1

98 77 ( ) ( ) 98 1 98 2 98 3 98 1 1 5,988,658,817 8,150,853,006 9,307,779,792 23,447,291,615 2 97,255,881 79,912,221 31,823,100 208,991,202 3 2,150,923,356 2,603,010,548 2,893,153,456 7,647,087,360 4 31,661,915 259,160,846 476,540,155 767,362,916 5 0 0 0 0 6 1,538,252 25,928,955 36,192,718 63,659,925 7 239,327,896 497,219,680 624,921,701 1,361,469,277 8 0 0 0 0 9 271,877,168 343,960,100 258,118,924 873,956,192 10 127,659,314 91,254,122 501,223,351 720,136,787 11 0 0 0 0 12 0 0 0 0 13 0 0 0 0 14 1,566,463,808 1,953,269,552 3,059,031,820 6,578,765,180 15 0 0 0 0 16 0 0 45,582 45,582 17 278,639 282,355 0 560,994 18 0 0 0 0 19 897,708,039 828,184,879 1,364,701,900 3,090,594,819 20 2,008,824 3,181,571 7,130,811 12,321,206 21 222,081,258 350,936,302 667,402,977 1,240,420,537 22 1,953,822,537 3,554,301,555 4,255,784,381 9,763,908,473 23 12,988,944 71,790,690 62,591,279 147,370,913 24 0 0 0 0 25 90,727 0 0 90,727 26 5,430,647 11,791,388 9,453,185 26,675,220 27 0 0 0 0 28 0 0 0 0 29 0 0 0 0 30 15,866,325 69,452,574 30,403,294 115,722,193 31 100,143,809 70,542,818 97,868,416 268,555,043 32 0 0 0 0 33 0 0 0 0 34 22,089,263 100,152,362 203,906,324 326,147,949 35 3,507,578,373 6,638,718,792 7,649,987,277 17,796,284,442 36 897,131 9,419 285,349 1,191,898 37 0 0 0 0 38 14,255,951 44,439,267 37,067,122 95,762,340 39 70,206,017 427,449,410 1,093,851,324 1,591,506,751 40 0 0 0 0 41 34,140,080 25,904,980 43,115,756 103,160,816 42 278,037 2,218,375 2,473,900 4,970,312 43 77,060,381 163,241,634 228,806,044 469,108,059 44 187,899,064 365,741,591 639,833,057 1,193,473,712 45 1,248,148,958 1,734,188,016 2,363,206,734 5,345,543,707 46 388,490,023 818,889,212 1,001,183,248 2,208,562,483 NT$19,236,829,434 NT$29,285,986,220 NT$36,947,882,976 NT$85,470,698,630

78 2009 TAIWAN SECURITIES ASSOCIATION ( ) ( 98 1 98 2 98 3 229,209,823.92 374,797,781.72 484,855,097.10 1,088,862,702.74 5,951,543.79 13,596,576.90 14,158,553.48 33,706,674.17 0.00 0.00 217,472.30 217,472.30 56,184.96 416,665.09 3,086,479.88 3,559,329.93 0.00 0.00 117,305.94 117,305.94 640,213.63 2,565,273.50 5,272,828.80 8,478,315.93 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 11,615,621.51 10,093,750.56 14,354,047.59 36,063,419.66 411,015.00 0.00 0.00 411,015.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 38,922,962.12 70,454,528.87 99,263,946.20 208,641,437.19 5,080,077.31 9,103,059.54 15,214,338.66 29,397,475.51 139,698.73 220,137.97 344,742.33 704,579.03 67,031,134.64 78,116,210.35 90,462,489.57 235,609,834.56 4,786,024.11 5,127,016.49 8,043,702.14 17,956,742.74 91,000.01 658,800.00 0.00 749,800.01 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 669,927.96 55,916.34 424,570.15 1,150,414.45 0.00 0.00 0.00 0.00 371.96 32,431.12 67,098.60 99,901.68 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 28,378.33 0.00 0.00 0.00 812,999.77 684,698.46 543,022.18 2,040,720.41 0.00 0.00 0.00 0.00 189,228,354.51 245,451,590.28 286,317,422.26 720,997,367.05 741,075.21 507,659.10 940,244.55 2,188,978.86 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 5,241,853.06 8,545,733.55 10,303,259.48 24,090,846.09 3,446,470.56 656,658.48 318,839.77 4,421,968.81 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00

98 79 929,927.85 6,309,090.12 7,826,548.21 15,065,566.18 2,089,216.09 13,218,195.15 33,432,459.35 48,739,870.59 0.00 0.00 0.00 0.00 636,444.86 434,149.85 427,749.63 1,498,344.34 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 295.72 288.14 285.23 869.09 865,278.71 114,876.91 7,896,488.73 8,876,644.35 348,765.00 106,310.00 616,048.80 1,071,123.80 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 200,830.00 1,151,467.03 1,339,929.00 2,692,226.03 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 3,590,750.87 2,117,713.13 1,252,596.92 6,961,060.92 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 25,500.00 47,100.00 72,600.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 US$572,737,861.86 US$844,562,078.65 US$1,087,144,666.85 US$2,504,444,607.36 US$25,639,910.82 US$18,458,341.83 US$38,609,522.74 US$82,707,775.39 3,278 3,357 3,474 358,185 361,870 367,813 361,463 365,227 371,287

80 2009 TAIWAN SECURITIES ASSOCIATION ( ) ( ) 98 1 98 2 98 3 229,209,823.92 374,797,781.72 484,855,097.10 1,088,862,702.74 38,922,962.12 70,454,528.87 99,263,946.20 208,641,437.19 11,615,621.51 10,093,750.56 14,354,047.59 36,063,419.66 5,241,853.06 8,545,733.55 10,303,259.48 24,090,846.09 929,927.85 6,309,090.12 7,826,548.21 15,065,566.18 4,786,024.11 5,127,016.49 8,043,702.14 17,956,742.74 640,213.63 2,565,273.50 5,272,828.80 8,478,315.93 3,590,750.87 2,117,713.13 1,252,596.92 6,961,060.92 200,830.00 1,151,467.03 1,339,929.00 2,692,226.03 741,075.21 507,659.10 940,244.55 2,188,978.86 865,278.71 114,876.91 7,896,488.73 8,876,644.35 669,927.96 55,916.34 424,570.15 1,150,414.45 0.00 25,500.00 47,100.00 72,600.00 28,378.33 0.00 0.00 28,378.33 0.00 0.00 0.00 0.00 297,442,667.28 481,866,307.32 641,820,358.87 1,421,129,333.47 5,951,543.79 13,596,576.90 14,158,553.48 33,706,674.17 2,089,216.09 13,218,195.15 33,432,459.35 48,739,870.59 5,080,077.31 9,103,059.54 15,214,338.66 29,397,475.51 812,999.77 684,698.46 543,022.18 2,040,720.41 91,000.01 658,800.00 0.00 749,800.01 3,446,470.56 656,658.48 318,839.77 4,421,968.81 348,765.00 106,310.00 616,048.80 1,071,123.80 411,015.00 0.00 0.00 411,015.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 18,231,087.53 38,024,298.53 64,283,262.24 120,538,648.30 189,199,976.18 245,451,590.28 286,317,422.26 720,968,988.72 67,031,134.64 78,116,210.35 90,462,489.57 235,609,834.56 636,444.86 434,149.85 427,749.63 1,498,344.34 56,184.96 416,665.09 3,086,479.88 3,559,329.93 295.72 288.14 285.23 869.09 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 256,924,036.36 324,418,903.71 380,294,426.57 961,637,366.64 139,698.73 220,137.97 344,742.33 704,579.03 371.96 32,431.12 67,098.60 99,901.68 0.00 0.00 117,305.94 117,305.94 0.00 0.00 0.00 0.00 140,070.69 252,569.09 529,146.87 921,786.65 0.00 0.00 217,472.30 217,472.30 0.00 0.00 217,472.30 217,472.30 US$572,737,861.86 US$844,562,078.65 US$1,087,144,666.85 US$2,504,444,607.36

98 81 ( ) 90 52 163 3 7 91 113 211 2 4 92 126 128 1 2 93 205 130 2 7 94 102 92 0 9 95 111 99 0 11 96 185 122 0 13 97 86 61 1 1 98Q1 15 18 0 0 ( ) 98 1 ( ) ( ) (%) 1 2,790 20.00 55,800,000 2009.01.05 2.89 2 1,251 38.00 47,538,000 2009.01.10 2.43 3 696 27.00 18,792,000 2009.02.10 1.52 4 1,530 13.00 19,890,000 2009.02.18 2.37 5 960 13.00 12,480,000 2009.02.23 2.12 6 1,200 20.50 24,600,000 2009.02.23 3.89 7 1,185 16.00 18,960,000 2009.02.23 4.42 8 900 10.00 9,000,000 2009.02.25 100.00 9 2,859 32.30 92,345,700 2009.03.05 2.37 10 31,780 11.60 368,648,000 2009.03.06 100.00 11 2,338 12.00 28,056,000 2009.03.10 2.96 12 3,105 10.00 31,050,000 2009.03.12 3.93 13 2,724 87.00 236,988,000 2009.03.19 1.74 14 1,053 22.50 23,692,500 2009.03.19 1.10 15 2,010 32.00 64,320,000 2009.03.20 1.53 16 850 10.70 9,095,000 2009.03.24 1.02 17 1,350 15.00 20,250,000 2009.03.25 1.81 18 36,000 9.50 342,000,000 2009.03.26 14.90

82 2009 TAIWAN SECURITIES ASSOCIATION ( ) 98 1 1 14,050 11,260 97.12.29~98.01.05 20 ~25 2 4,247 2,996 98.01.05~98.01.08 35 ~40 3 5,000 4,500 98.01.09~98.01.12 101%~120% 4 2,670 1,974 98.02.03~98.02.06 25 ~30 5 5,250 3,720 98.02.11~98.02.16 12 ~15 6 3,547 2,587 98.02.16~98.02.19 12 ~15 7 12,442 11,257 98.02.16~98.02.19 16 ~19 8 2,300 2,185 98.02.18~98.02.23 101%~115% 9 9,972 7,113 98.02.26~98.03.03 28 ~35 10 10,000 7,662 98.03.03~98.03.06 10.8 ~12.8 11 22,700 19,595 98.03.05~98.03.10 10 ~12 12 10,440 7,716 98.03.12~98.03.17 85 ~90 13 3,585 2,532 98.03.12~98.03.17 18.5 ~22.5 14 7,702 5,692 98.03.13~98.03.18 30 ~35 15 4,947 3,597 98.03.18~98.03.23 14 ~16

98 83 ( ) (98 1-3 ( ) (%) EPS ( ) ROE (%) (%) ( ) 89 51,285,130 46,561,614 4,723,516 339,005,738 432,094,707 9.21 0.139 1.09 100.00 12.746 50 49,604,996 45,070,916 4,534,080 324,724,858 407,998,698 9.14 0.140 1.11 96.72 12.564 39 1,680,134 1,490,698 189,436 14,280,880 24,096,009 11.28 0.133 0.79 3.28 16.873 72 46,765,033 42,467,650 4,297,383 319,622,738 393,540,912 9.19 0.134 1.09 91.19 12.313 37 45,996,991 41,740,262 4,256,729 309,206,858 379,155,753 9.25 0.138 1.12 89.69 12.262 35 768,042 727,388 40,654 10,415,880 14,385,159 5.29 0.039 0.28 1.50 13.811 17 4,520,097 4,093,964 426,133 19,383,000 38,553,795 9.43 0.220 1.11 8.81 19.891 13 3,608,005 3,330,654 277,351 15,518,000 28,842,945 7.69 0.179 0.96 7.04 18.587 4 912,092 763,310 148,782 3,865,000 9,710,850 16.31 0.385 1.53 1.78 25.125 20 20 39,750,352 35,786,052 3,964,300 269,296,165 339,936,155 9.97 0.147 1.17 77.51 12.623 20 39.6 (1). 151 95 4214 (2). 89 (3). Year-To-Month 98 3 98 4 16 (4). 98 33 1.1% PPI1.2% CPI0.1% () 89 EPS 0.139 EPS 0.354 632634,5575,210 14.33%(TSE: 795 /OTC: 97 ) 97(TSE: 1,442 /OTC: 164 ) (5). EPS 0.140 EPS 0.133 EPS 0.220 EPS 0.134 EPS 0.138 EPS 0.039 EPS 0.385EPS 0.179 (6). 98 3 20 EPS 0.147 19 EPS 0.303 20 ROE 1.17% 1.09% (7). EPS 3.6601.1890.667 EPS -0.941-0.494-0.275 (8). 6 2 5.75% 3 2 23.8% 11.5%68% 3,9556,000

84 2009 TAIWAN SECURITIES ASSOCIATION ( ) (98 1-3 ( ) ( ) ( ) () () ( ) 1 5,194,749 1 531,626 1 3.660 2 3,818,711 2 501,876 2 1.189 3 3,774,146 3 488,509 3 0.667 4 3,160,905 4 289,782 4 0.568 5 2,984,272 5 244,550 5 0.517 6 2,818,117 6 241,306 6 0.507 7 2,728,114 7 222,559 7 0.372 8 2,698,581 8 215,862 8 0.336 9 2,589,031 9 198,815 9 0.303 10 2,285,781 10 181,018 10 0.282 ( ) ( ) ( ) () () ( ) 1 5,194,749 1 531,626 1 1.189 2 3,818,711 2 501,876 2 0.667 3 3,774,146 3 488,509 3 0.568 4 3,160,905 4 289,782 4 0.517 5 2,984,272 5 244,550 5 0.507 ( ) ( ) ( ) () () ( ) 1 354,713 1 80,523 1 3.660 2 242,775 2 36,015 2 0.336 3 227,301 3 17,645 3 0.282 4 103,515 4 17,597 4 0.267 5 87,303 5 14,647 5 0.196 ()

98 85 ( ) (98 1-3 ( ) (%) EPS( ) ROE(%) (%) ( ) 1040 91,052 84,974 6,078 3,000,000 3,011,243 6.675 0.020 0.20 0.178 10.04 1090 442,296 463,701-21,405 5,996,390 4,692,947-4.840-0.036-0.46 0.862 7.83 1160 1,074,759 1,006,653 68,106 11,572,128 18,825,795 6.337 0.059 0.36 2.096 16.27 1260 424,635 464,180-39,545 4,299,000 3,669,144-9.313-0.092-1.08 0.828 8.53 1360 214,065 150,670 63,395 533,000 2,000,858 29.615 1.189 3.17 0.417 37.54 1400 29,114 43,233-14,119 150,000 1,147,033-48.496-0.941-1.23 0.057 76.47 1440 189,153 177,210 11,943 1,000,000 1,499,883 6.314 0.119 0.80 0.369 15.00 1470 191,071 169,171 21,900 1,000,000 3,296,643 11.462 0.219 0.66 0.373 32.97 1480 207,258 180,921 26,337 395,000 3,311,510 12.707 0.667 0.80 0.404 83.84 1530 144,947 125,084 19,863 350,000 1,612,971 13.704 0.568 1.23 0.283 46.08 1560 114,514 127,155-12,641 660,000 686,963-11.039-0.192-1.84 0.223 10.41 1570 1,719,781 1,693,603 26,178 1,010,000 1,303,483 1.522 0.259 2.01 3.353 12.91 1590 147,499 122,289 25,210 1,455,000 2,847,699 17.092 0.173 0.89 0.288 19.57 1650 236,172 170,801 65,371 1,265,000 2,325,973 27.679 0.517 2.81 0.461 18.39 2180 818,060 653,417 164,643 7,137,143 8,805,847 20.126 0.231 1.87 1.595 12.34 5050 82,599 66,541 16,058 2,325,836 3,181,531 19.441 0.069 0.50 0.161 13.68 5110 24,665 34,098-9,433 760,000 552,624-38.244-0.124-1.71 0.048 7.27 5180 144,527 170,939-26,412 4,165,000 2,582,840-18.275-0.063-1.02 0.282 6.20 5260 152,625 168,491-15,866 2,655,896 3,046,797-10.395-0.060-0.52 0.298 11.47 5270 3,818,711 3,330,202 488,509 16,107,860 17,478,704 12.793 0.303 2.79 7.446 10.85 5380 487,210 365,191 122,019 5,900,000 6,390,752 25.044 0.207 1.91 0.950 10.83 5500 10,579 17,746-7,167 660,000 230,010-67.747-0.109-3.12 0.021 3.49 5510 2,589,031 2,424,288 164,743 13,969,020 20,969,020 6.363 0.118 0.79 5.048 15.01 5650 2,984,272 2,768,410 215,862 25,380,862 31,492,193 7.233 0.085 0.69 5.819 12.41 5720 1,665,267 1,499,138 166,129 14,290,660 18,264,485 9.976 0.116 0.91 3.247 12.78 5820 1,001,461 802,646 198,815 10,827,764 10,159,594 19.852 0.184 1.96 1.953 9.38 5850 2,818,117 2,573,567 244,550 12,157,062 17,475,744 8.678 0.201 1.40 5.495 14.37 5920 2,274,699 2,093,681 181,018 13,988,726 15,893,973 7.958 0.129 1.14 4.435 11.36 6010 150,939 93,254 57,685 1,137,554 1,091,697 38.217 0.507 5.28 0.294 9.60

86 2009 TAIWAN SECURITIES ASSOCIATION ( ) (98 1-3 ( ) (%) EPS( ) ROE(%) (%) ( ) 6160 371,147 307,142 64,005 5,357,140 5,708,912 17.245 0.119 1.12 0.724 10.66 6480 12,070 18,764-6,694 1,389,961 1,228,783-55.460-0.048-0.54 0.024 8.84 6530 418,577 306,888 111,689 2,999,013 3,489,976 26.683 0.372 3.20 0.816 11.64 6910 80,681 67,440 13,241 2,100,000 1,214,206 16.412 0.063 1.09 0.157 5.78 7000 2,285,781 2,044,475 241,306 11,600,000 13,454,694 10.557 0.208 1.79 4.457 11.60 7030 120,933 93,605 27,328 1,943,428 2,462,139 22.598 0.141 1.11 0.236 12.67 7790 609,259 608,655 604 8,270,789 8,545,062 0.099 0.001 0.01 1.188 10.33 8450 524,824 486,707 38,117 6,554,251 7,399,510 7.263 0.058 0.52 1.023 11.29 8560 106,499 71,378 35,121 1,252,000 1,621,795 32.978 0.281 2.17 0.208 12.95 8690 505,092 411,576 93,516 4,163,005 4,724,947 18.515 0.225 1.98 0.985 11.35 8700 85,043 17,250 67,793 3,000,000 3,167,201 79.716 0.226 2.14 0.166 10.56 8740 28,127 13,631 14,496 1,000,000 726,506 51.538 0.145 2.00 0.055 7.27 8840 118,893 135,843-16,950 3,060,000 3,218,159-14.257-0.055-0.53 0.232 10.52 8880 3,774,146 3,734,862 39,284 3,700,000 4,010,415 1.041 0.106 0.98 7.359 10.84 8890 276,691 305,753-29,062 3,000,000 3,745,708-10.503-0.097-0.78 0.540 12.49 8960 52,697 47,514 5,183 1,000,000 1,053,806 9.835 0.052 0.49 0.103 10.54 9300 2,728,114 2,646,678 81,436 8,111,743 10,239,762 2.985 0.100 0.80 5.320 12.62 9400 2,203,109 1,980,550 222,559 13,255,044 19,578,165 10.102 0.168 1.14 4.296 14.77 9600 3,160,905 2,871,123 289,782 13,755,000 27,938,300 9.168 0.211 1.04 6.163 20.31 9700 5,194,749 4,692,873 501,876 21,385,195 25,637,769 9.661 0.235 1.96 10.129 11.99 9800 2,698,581 2,166,955 531,626 43,679,388 50,984,927 19.700 0.122 1.04 5.262 11.67 1380 242,775 162,252 80,523 220,000 1,259,252 33.168 3.660 6.39 0.473 57.24 1520 354,713 337,116 17,597 1,135,000 3,970,154 4.961 0.155 0.44 0.692 34.98 5320 46,170 38,991 7,179 478,555 779,103 15.549 0.150 0.92 0.090 16.28 5460 7,962 9,463-1,501 312,000 310,347-18.852-0.048-0.48 0.016 9.95 5600 37,212 40,049-2,837 325,000 687,175-7.624-0.087-0.41 0.073 21.14 5660 11,444 10,709 735 226,000 362,082 6.423 0.033 0.20 0.022 16.02 5690 12,429 10,799 1,630 280,000 506,677 13.114 0.058 0.32 0.024 18.10 5860 12,784 8,387 4,397 268,438 509,556 34.395 0.164 0.86 0.025 18.98 5870 21,771 15,044 6,727 200,000 500,663 30.899 0.336 1.34 0.042 25.03

98 87 ( ) (98 1-3 ( ) (%) EPS( ) ROE(%) (%) ( ) 5960 24,860 17,802 7,058 361,538 686,021 28.391 0.195 1.03 0.048 18.98 6200 83,227 106,880-23,653 478,732 497,798-28.420-0.494-4.75 0.162 10.40 6210 11,922 8,925 2,997 235,400 253,992 25.138 0.127 1.18 0.023 10.79 6380 43,309 37,757 5,552 440,783 540,023 12.820 0.126 1.03 0.084 12.25 6450 35,174 29,130 6,044 364,808 576,758 17.183 0.166 1.05 0.069 15.81 6460 103,515 85,870 17,645 900,000 1,201,460 17.046 0.196 1.47 0.202 13.35 6620 2,714 4,324-1,610 200,000 98,876-59.322-0.081-1.63 0.005 4.94 6660 7,108 8,032-924 200,000 207,420-12.999-0.046-0.45 0.014 10.37 6950 13,613 12,578 1,035 255,000 385,238 7.603 0.041 0.27 0.027 15.11 7020 8,794 8,028 766 200,000 300,668 8.710 0.038 0.25 0.017 15.03 7070 9,585 7,612 1,973 200,000 344,311 20.584 0.099 0.57 0.019 17.22 7080 11,153 18,027-6,874 250,000 213,511-61.634-0.275-3.22 0.022 8.54 7120 3,817 4,682-865 200,000 104,246-22.662-0.043-0.83 0.007 5.21 7530 49,282 46,732 2,550 400,000 672,351 5.174 0.064 0.38 0.096 16.81 7670 16,175 14,046 2,129 300,300 368,458 13.162 0.071 0.58 0.032 12.27 7690 4,659 5,344-685 200,000 230,809-14.703-0.034-0.30 0.009 11.54 7750 16,344 16,966-622 269,451 291,438-3.806-0.023-0.21 0.032 10.82 7780 24,293 23,661 632 368,000 450,864 2.602 0.017 0.14 0.047 12.25 7900 6,525 7,237-712 238,000 294,061-10.912-0.030-0.24 0.013 12.36 8150 6,045 7,123-1,078 200,000 207,403-17.833-0.054-0.52 0.012 10.37 8380 39,045 29,150 9,895 370,000 566,453 25.343 0.267 1.75 0.076 15.31 8440 227,301 191,286 36,015 1,990,000 3,788,355 15.845 0.181 0.95 0.443 19.04 8490 10,719 9,721 998 200,000 301,267 9.311 0.050 0.33 0.021 15.06 8520 11,976 10,069 1,907 230,000 447,742 15.924 0.083 0.43 0.023 19.47 8660 3,449 4,061-612 230,000 211,591-17.744-0.027-0.29 0.007 9.20 8710 15,964 16,361-397 302,000 225,224-2.487-0.013-0.18 0.031 7.46 8770 6,340 7,368-1,028 200,000 229,555-16.215-0.051-0.45 0.012 11.48 8800 35,001 32,243 2,758 320,000 651,446 7.880 0.086 0.42 0.068 20.36 8850 13,662 14,217-555 211,875 170,572-4.062-0.026-0.33 0.027 8.05 8900 87,303 72,656 14,647 520,000 693,089 16.777 0.282 2.11 0.170 13.33

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