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Article NO. Content


Corporate Governance Best-Practice Principles for Securities Firms  CH

Amended Date: 2019.01.14 
Categories: Corporate Governance
Article 20-1     To achieve the goal of corporate governance, the board of directors of a securities firm has the following main job responsibilities:
  1. Establish an effective and appropriate internal control system.
  2. Elect and supervise managers.
  3. Review the company's management policy-making and operation plan, and supervise its execution.
  4. Review the company's financial objectives and supervise how they are accomplished.
  5. Supervise the results of the company's operation.
  6. Standards for performance evaluations and emoluments for managers and salespersons, and the structure and system of directors' emoluments.
  7. Supervise and handle the risks the company is facing.
  8. Ensure the company's compliance of applicable laws.
  9. Plan for the company's future objectives.
  10. Create and maintain the company's image and make the company a responsible member of the society.
  11. Elect accountants, lawyers and other experts.
  12. Protect investors' rights and interests.