Fubon Securities ESG Strategies and Implementation Results

1.Exert financial influence to assist customers with active participation in the green capital market

As the global community becomes more proactive about addressing climate change, Fubon Securities are also committed to offering financing services to enterprises that contribute to the reduction of global warming. Meanwhile, our endeavors in low-carbon investment persist. To visualize the implementation status of our strategies for achieving responsible finance, we have also completed an inventory of high carbon emission industries in Taiwan in 2020. Our goal is to gradually increase the percentage of responsible finance throughout our operations.

• In fulfilling corporate social responsibility, Fubon Securities assists enterprises with the issuance of green bonds or sustainability bonds. Our participation in green bond underwriting in 2020 has reached 27%.
• Based on our underwriting expertise, Fubon Securities offers financing services to enterprises that contribute to products or services that reduce climate change or environmental risks. The financing amount underwritten for companies contributing to environmental sustainability in 2020 accounts for 11%.

2.Stipulate science based carbon reduction goals for an energy-saving and carbon reduction business model

In response to climate change and global calls for greenhouse gas reduction and a low-carbon business environment, Fubon Securities issued the “Environmental Policy Statement” in 2016 in compliance with Fubon Financial Holding’s “Climate Change Management Principles”. Moreover, the Company adopted the ISO 50001 Energy Management System and acquired certification in 2018, and adopted ISO14001 Environmental Management System in 2019. We also continue to promote carbon reduction efforts and set environmental improvement goals including reduction goals for greenhouse gas emission, energy consumption, water consumption, and waste management goals.

3.Mobilize and digitalize financial services to meet customer demand and create maximum value

Based on integrated online and offline resources on top of enhanced physical channels, Fubon Securities’ mobile services offer a digital transaction environment, cloud-backed and accessible through multiple interfaces. As we continue to mobilize account opening, transactions, and various investment and financial management services, active digital accounts in 2020 have reached 75.1%.

4.Exert core financial competencies to promote inclusive finance and improve poverty

Based on the core competencies as a financial service provider, Fubon Securities promotes financial management to the general public and helps fight poverty through the accumulation of wealth. In June 2018, the launch of the podcast “Fubon Trend” enables clients to stay on top of the latest trends in the industry anywhere and anytime. The show was listened to a total of 201,474 times in 2020. Fubon Securities also helps new generation and small investors through dollar-cost averaging investment plans launched immediately after fixed-term fixed-amount investmentsin ETFs were approved by the authority in 2017. As of May 2021, we have over 70,000 clients in our dollar-cost averaging investment plans.

5.Value financial consumer rights based on treating customers fairly principles at the core of corporate culture

Treating customers fairly is a shared corporate value and code of conduct Fubon Securities abides by. The advocacy of employee regulatory compliance with consumer protection laws is stressed to facilitate corporate sustainability and development. In 2019, Fubon Securities was rated in the top 20% of the Financial Supervisory Commission’s evaluation on treating customers fairly principles and practices.

6.Create a friendly and healthy workplace of happiness

Fubon Securities strives to build a workplace of diversity, respect, and harmonious communication. We also continue to develop, attract and retain talents in our healthy and safe work environment. Human capital is an important asset to Fubon and its subsidiaries that are jointly working towards sustainable development. An employee opinion survey is conducted every two years to learn about internal material issues and employee engagement.

7.In response to the global pandemic of COVID-19, Fubon Securities has launched emergency contingency plans for epidemic prevention throughout the company.

Complying with the national alert levels for epidemic prevention, office environment sanitation and disinfection are strengthened. We also launched the offsite backup and work-from-home mechanisms to implement crowd control and avoid congregating. In business premises, transparent removable partitions are installed at the customer counter, and seating areas are adjusted for social distancing. Comprehensive and sufficient epidemic prevention supplies and equipment are in place, i.e. alcohol for disinfection, face masks, forehead thermometer, automatic temperature measurement machine. Under joint efforts, all epidemic prevention measures are thoroughly implemented internally, and the Company’s handling of the crisis met with high praise among Fubon colleagues who felt well-protected.

8.Connect positive energy in society and exert influence

Based on Fubon Securities’ core competencies as a financial service provider, we encourage employees to join our positive endeavors by offering a variety of opportunities for personal growth and achievement. The four foundations and charity programs of subsidiaries under Fubon Financial Holdings create a network of positivity where employees are encouraged to take part in Fubon’s charitable endeavors and exert their influence to change society for the better.