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Taiwan Stock Exchange

ESG [*] Key Issues Questionnaire


To whom it may concern：

Taiwan Stock Exchange Corporation (TWSE) and its subsidiaries have continuingly released Corporate Social Responsibility (CSR) or Sustainability Report in past few years, disclosing TWSE’s effort in environmental, social and governance dimensions to the public. To better understand the ESG issues of stakeholders and ensure we are communicating what matters most with stakeholders through Sustainability Report, TWSE has collected following issues. We invite you to truthfully share your thoughts and opinions, offering future directions of information disclosure and sustainable development.


This is an anonymous questionnaire, and the information will only be used for TWSE and its subsidiaries’ ESG key issue analysis. Should you have any questions, please do not hesitate to let us know, we are more than happy to help. Thank you for your cooperation!


NOTE:
[*]ESG stands for Environmental, Social and Governance issues, which includes but not limited to climate change, pollution, waste management, human rights, supply chain management, philanthropy, corporate governance and business ethics (anti-corruption).


1. Your relationship with TWSE:

  •    
[Stakeholders Description]:
[1] Customers：Data vendors, securities investment trust enterprises, etc.
[2] Suppliers：Manufacturers that provide office equipment, telecommunications/information, operational engineering or other resources.
[3] Regulatory Authorities：Government agencies, such as the Financial Supervisory Commission, etc.
[4] Non-profit Organizations：Associations, universities, foundations, etc.
[5] Intermediaries: Lawyers, accountants, underwriters, etc.

   

2.What is level of the importance to TWSE regarding the following issues:


  • Please note that this questionnaire collects the importance of issues to the "company", not the company's current performance or your own perception of the importance of ESG issues.
  • Please consider the importance of the following 18 issues and choose a suitable scale for each issue. (Importance 1~4 points, 4 points are the most important)
  • To increase the validity and accuracy of the results of the questionnaire, please have scores on issues differently, please avoid choosing the same answers for all the questions.

Level of Importance
Not
important 		Slightly
important		 Important Very
important
Governance
Information Security Management
Establish a complete information security management system and effective monitoring procedures to enhance the company's information security resilience, strengthen information security defense capabilities to reduce information security threats, and avoid the risk of company information leakage.
Corporate Governance
A sound corporate governance system is an important cornerstone of the company's operations, which includes: board diversity (the composition of board members in terms of gender, age, nationality, and race), the degree of independence of the board of directors, the consistency between the remuneration of senior executives and the interests of shareholders, and board of directors' responsibility of supervision for ESG/sustainable development.
Business Ethics
Adhere to the code of conduct and code of ethics to actively prevent dishonest behavior, establish an anti-corruption system (for example: improve the process or framework of anti-financial crime and money laundering, including due diligence procedures and employee training related to anti-money laundering, etc.), and improve the Third-party reporting mechanism to implement corporate integrity management and anti-corruption governance.
Risk Management and Internal Control and Internal Audit
Integrate the management of traditional risks (including: finance, operation, etc.) and emerging risks (including: environment, climate change, etc.), establish a risk management mechanism, implement risk identification and risk mitigation measures, strengthen the continuous operation management mechanism, and ensure good internal control and internal audit system.
Compliance
The company's organizational operations and product services comply with environmental, social and economic regulations and reduce the risk of operations and penalties and improve business performance.
Business Performance
As an intermediary platform for capital demanders and capital suppliers, the Company maintains stable and good operating performance while cooperating with government for the promotion of various major economic policies and creating a prosperous capital market.
Promotion of Securities Market
Participate in international organizations and promote the domestic financial system to be in line with international standards.
Low Carbon Transition: Sustainable Financial Products and Services
Introduce more diversified and sustainable financial products that can combine social and environmental aspects and promote them to encourage low-carbon and responsible investment and lead to low-carbon economic transformation.
Investor Relations and Privacy Management
Establish a trust and communication management mechanism with investors to ensure the safety of privacy management.
Customer Relationship Management
Improve the quality of customer service, the results of customer satisfaction surveys and customer relationship management strategies.
Environmental
Sustainable Procurement and Supply Chain Management
Reduce the environmental or human rights risks caused by the supply chain through sustainable procurement and supplier management, so as to reduce the company's operational risks.
Climate Change
Climate mitigation and adaptation strategies such as the ability to deal with extreme weather events under climate change, energy conservation and carbon reduction (for example: gradually improving energy efficiency) and renewable energy use.
Social
Inclusive Finance
Actively promote inclusive finance, provide basic financial services and guarantees for the financially disadvantaged, and improve measures for disadvantaged groups and youth groups to enjoy financial services; at the same time, use professional knowledge and resources to promote financial education for the community, and enhance market participants' understanding of financial products and knowledge.
Participation in Public Welfare and Charitable Activities
Actively participate in local community activities, engage in social care and participate in community public welfare activities.
Human Capital
Establish a sound human capital management system such as a competitive salary and benefits system, diverse talent recruitment plans, education and training, career development plans, and diverse and equal employee development.
Human Rights
Protect labor human rights, such as: prohibit forced labor, eliminate illegal discrimination, ensure equal job opportunities, abide by wage and working hours regulations, freedom of association, group negotiation and freedom of speech, etc.
Occupational Safety and Health
Create and maintain safe and healthy workplaces and environments (including mental health and wellbeing).
Innovation of Trading Mechanisms
Continue to develop innovative and efficient trading methods and systems.

3.Additional opinions: