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Retail Brokerage & Wealth Management

In 2014, KGI Securities' brokerage business was renamed Retail Brokerage and Wealth Management. KGI Retail Brokerage and Wealth Management has adopted a one-stop service model, supported by its inherent advantages of an expert sales force, a professional image, and a broad range of highly diversified products and services that are differentiated from those of banks’ wealth management units. These differentiated products include Taiwan-listed stock trading, futures, sub-brokerage, trust accounts for wealth management, and offshore securities unit (OSU) services.

In the brokerage business, KGI Securities' Taiwan market share was 8.1% in 2015 and branches totaled 83 as of Dec. 31, 2015, ranking second in the market. Per-branch market share retained first place. The company continued to focus on sales growth and service quality improvement, while stressed in innovation all the while. For example, it has taken the lead in online trading in Taiwan by creating a multi-platform trading environment in 2013. The following year, it integrated cloud-based devices that can transmit real-time information via offline pushing technology. And under the government's digitized financial 3.0 policy, since 2015 online account opening and API services have been developed, capturing blue ocean opportunities via innovative Fin-Tech services. Due to the growth of mobile e-commerce, KGI Securities has made significant progress by developing applications for a wide range of mobile electronic devices, such as a reader of e-statements across different screens, certificate generation, and an app that allows risk-disclosure form filling on a mobile device. Thus, KGI Securities continues to offer comprehensive online trading services by adopting the latest technologies, providing clients with powerful cross-platform applications, user-friendly websites for placing orders, and convenient, prompt and secure mobile transaction. Moreover, its customized services can meet the needs of VIP clients and link with foreign markets as well as wealth management-related products, allowing the trading of multiple assets in numerous time zones, maximizing asset allocation efficiency.

KGI Wealth Management provides comprehensive wealth management services, with the number of clients and the size of trust assets leading the Taiwan market. This business division is extremely well regarded by clients and ranking agents. In Business Magazine's Wealth Management Reviews of 2015, KGI Wealth Management was ranked No. 1 in the 'Best Service' category and No. 2 in the 'Best Wealth Management in Securities House' category. It also won 'Best Sales Team', 'Best Product', and 'Best in Digital Development' accolades. On the business performance front, KGI Wealth Management has founded its professional investment services on the dynamic allocation of multiple asset classes, including mutual funds, foreign stocks, structured products, and insurance-based products. This helps clients grow asset values via risk diversification. Securities lending services are also provided, enabling clients to bolster equity asset value and generate steady income. KGI's securities lending business is the leader in the local market in terms of scale. With respect to personnel, a financial adviser (FA) team was established in 2015 with a view to serving high net worth clients with customized methodologies and products. In terms of the pan-Asia wealth management realm, KGI Securities has built an OSU platform, enabling the synchronization of account opening and custodian services. The first of its kind in the market, the platform allows the trading of foreign stock ETFs, mutual funds, private-equity funds, hedge funds, bonds and structured products, among others, under one account.