Securities and Futures Institute-About Us

About Us

Missions

Organization Chart

I.Missions: The SFI is a non-profit organization established on May 29, 1984. It operates in conjunction with national economic growth policies to guide investment activities, promote academic and practical research in the domains of securities and futures, and facilitate the sound development of securities and futures markets.; The Board of Directors is the policy-making body of the SFI. It is comprised of eleven directors and one supervisor with a chairman who acts as the representative of the organization. The administrative body, headed by the President and Senior Executive Vice President, is divided into 6 sections: Research Department, Information Department, Department of Investor Education, Testing Center, Education Center and Administration Department.

Organizational Structure Chart Description:n:: -The Board of Directors; -Eleven directors and one supervisor; -Chairman; -President; -Senior Executive Vice President; -Divided into 6 sections: Research Department, Information Department, Department of Investor Education, Testing Center, Education Center and Administration Department.

Update:e:2023/04/14

Current Chairman and President

Chairman
Chuang-Chang Chang
Ph.D.

Education:

University of Lancaster, UK

Ph.D. in Accounting & Finance

Highlights:

	Financial Supervisory Commission	Vice Chairperson
	Dep. of Finance, National Central University	Professor
	Chung-Hua Institution for Economic Research	President

General Manager
Li-Chen Chang

Education:

M. Acc., Department of Accounting, National Chengchi University

Master's Degree

Highlights:

	Taipei Exchange	Managing Director & CEO
	Securities and Futures Bureau, Financial Supervisory Commission	Secretary-General, Deputy Director-General, Acting Director-General
	Qualified CPA

Update:2023/04/14

Chronology

2022

Date	Event
01.10~12.30	Organized 70 sessions of the 2022 “Bringing Financial Literacy to Your Home Seminar - VAC Project” under the commission of the Taiwan Financial Services Roundtable.
02.16~06.22	Organized the International Finance Seminars Courses 2021.
02.23~06.15	Organized credit courses of the Asia Regional Finance and Financial Innovation and Transaction Courses 2021-2022 in Tainan.
03.01~11.01	Organized the Asset Management New Knowledge and Legal Compliance Series Seminar, with four sessions on ESG Fund Information Disclosure, Strategies for Sustainable Development and Transformation of the Securities and Futures Industry, Greenhouse Gas Inventory and Disclosure of Financial Institutions, and Information Security Supervision and Practice under the Trend of Digital Transformation.
03.03~12.30	Organized 18 sessions of the 2022 “Financial Knowledge to the Community Seminar" in various remote areas throughout Taiwan, under the commission of the TFSR.
03.09~12.28	Organized 20 sessions of Money Management General Education for College Students.
03.11~03.12	Organized the 1st Certified International Investment Analysts(CIIA) Foundation and Final Exams in 2022.
03.16~11.25	Organized the 2022 Training Program on Enhanced English Communication for Securities and Futures Merchants, with 4 sessions on Investment Product Introduction and Customer Relationship Management, Financial Product Sales Presentation Skills, Business Negotiation and Customer Relationship Management, and International Financial Issues and Current Affairs throughout the year.
03.24~11.11	Organized 15 sessions of the New Approach to Financial Planning Seminars for Military Personnel under the commission of TDCC.
03.28	The "Review of Securities and Futures Markets" was awarded 5th place periodical (economics) for Long Term Periodicals Dissemination in the 2022 Most Influential Academic Resources in Taiwan from the National Central Library.
04.08~12.31	Organized the 2022 Online Campaign for “Investment Risk for Investors” under the joint commission of TWSE, TPEx, and TAIFEX.
04.13~06.22	Phase 1 (domestic training) of the 2022 SFI GoProS Training Program).
04.13~08.20	Arranged 30 sessions of the "Financial Literacy Program 2022: Investing for the Future Lecture Series" under the commission of the Securities and Futures Bureau, FSC.
04.17	Organized the first professional subject exam on securities, securities investment trust and consulting, and futures, and internal control basic competency exam in 2022.
04.18、04.19	Organized the 2022 Practical Course for Information Security in Securities and Futures - Financial Information Security and Financial Regulations.
04.25~12.08	Organized 28 sessions of the "Financial Literacy onto the Campus Series" under the commission of TDCC, and produced 5 episodes of podcasts to introduce basic financial knowledge.
05.02~12.17	Arranged 50 sessions of "Financial Literacy Program 2022: Investing for the Future Lecture Series" under the commission of the TWSE.
05.03~06.30	Organized the 3rd Futures Specialist Training Program under the commission of TAIFEX.
05.13、05.27、07.15、07.22	Arranged the Workshops for Understanding Futures and Options Market Practices for Judges and Clerks (Taipei, Taichung, Tainan, and Kaohsiung).
05.19~05.20	Organized the 2021 Workshops for Understanding Futures and Options Market Practices for Prosecutors/Investigators (7th).
05.20、06.10、10.14、10.21、10.28	Organized 5 sessions of the 2022 Insider Trading Prevention Information Session under the commission of TWSE.
05.24~06.08	Organized 2 sessions of the Training Program for Key Industry and Securities Underwriters.
05.27、06.10、06.17、07.08	Arranged 4 sessions of the 84th Securities and Futures Markets Regulations and Case Studies Seminar (Judges, Officials, and Clerks, and Judges’ Assistants Course).
05.30~10.03	Arranged the "2022 Online Financial Elite Camp for College Students" under the commission of TPEx.
06.06~06.10	Organized the 97th Securities and Futures Markets Regulations and Case Studies Seminars (for prosecutors/investigators and judicial officers).
06.10~12.30	Produced and broadcasted 47 episodes of the “Futures Knowledge Online Program”.
06.13~06.14	Organized the 2022 Practical Course for Information Security in Securities and Futures - Financial Information Security App Testing and Cloud Data Security Practice.
06.17	Held the 2022 Asset Management Prospect Series - Focusing on Corporate Sustainability and Enhancing Market Investment Value.
06.26~12.23	Arranged 21 sessions of the Futures and Options Promotional Lectures 2022 under the commission of TAIFEX.
07.05~09.16	Held Phase 1 (domestic training) of the 2022 ALPHA+ Training Program for Asset Management.
07.15~09.15	Organized the financial knowledge online quiz game "Taiwan Financial Services Treasure Hunt" under the commission of the TFSR.
07.22、07.27、08.03	Organized 3 sessions of the 2022 Securities Industry Legal Compliance Promotional Conference.
07.27~08.19	Arranged the Securities Market Training Camp for Teachers under the commission of TWSE, which included 8 onsite courses and 1 online promotion activity.
08.03~12.18	Organized the “Investing Mutual Funds” podcast program, with 8 episodes broadcasted.
08.05~08.06	Organized the 2022 Study Camps for the Senior Executives of Asset Management.
08.05、08.12、08.19、09.16	Arranged the 99th Securities and Futures Markets Regulations and Case Studies Seminar (Judges, Officials, and Clerks, and Judges’ Assistants).
08.07	Organized the second professional subject exam on securities, securities investment trust and consulting, and futures, and internal control basic competency exam in 2022.
08.15~08.16	Organized the 2022 Practical Course for Information Security in Securities and Futures - Financial Information Security Incident Handling Practice.
08.19	Organized New Solutions and Key Strategies of Metaverse Concept Seminar.
08.31	Announce the SFI 2021 Sustainability Report (Chinese and English versions).
09.13~112.01.10	Organized the 2022 Interdisciplinary Financial Analysis bachelor’s degree course.
09.15~112.01.12	Organized the Asset Management Big Data and Algorithm Application Practices master's degree course for the 2022 academic year.
09.16	Organized the 2022 Asset Management Prospect Series - Promoting Sustainable Industry Upgrades and Focusing on International Alternative Investment Trends.
09.16~09.17	Organized the 2nd Certified International Investment Analysts(CIIA) Foundation and Final Exams in 2022.
09.16~112.01.13	Organized credit courses of the Asia Regional Finance and Financial Innovation and Transaction Courses 2022-2021 in Taichung.
09.17~11.05	Organized 5 large-scale investor education events on New Investment Trends in 2022, with livestreaming.
09.20、09.27、09.30	Organized the 2022 Advanced Wealth Management Specialist Training Workshop.
09.21~112.01.11	Organized the 2022 International Investment Analysis master's degree course.
09.21~112.01.11	Organized the 2022 ESG and Investment Analysis bachelor’s degree course.
09.23~10.07	Organized the 2022 Understanding Asset Management Market Practice Course- for prosecutors/investigators and judicial officers.
09.26~12.28	Organized the "Knowledge is King: the 19th Grand Contest on Investment Securities for University Students", including the online qualifying round, regional semifinal round, and the final round, under the commission of TWSE.
09.29~09.30	Organized the 2021 Workshops for Understanding Futures and Options Market Practices for Prosecutors/Investigators (8th).
09.30~11.08	Arranged 10 sessions of the Securities and Futures Industry (Including Introducing Brokers) Legal Compliance Promotional Conference.
10.03~10.04	Organized the 2022 Practical Course for Information Security in Securities and Futures - Essentials of Financial Information Security Auditing.
10.03~10.09	Participated in World Investor Week 2022, which was organized by the International Organization of Securities Commissions (IOSCO) and the FSC.
10.05、10.12、10.19、10.26	Arranged the 2022 Insider Ownership Regulations for TWSE-Listed Companies and Unlisted Public Companies under the commission of Taiwan Stock Exchange.
10.06	Launch the website of the "Mutual Fund Investor Learning Path".
10.07~11.04	Organized 2022 Financial Technology Capacity Building Training Program - Big Data Analysis.
10.14~12.14	Organized the online “Fun with Futures Campaign” to raise awareness.
10.18~12.18	Organized the “What’s Up Mutual Funds” YouTuber online video promotion project, 5 promotional videos were produced and an online promotion zone was set up.
10.19~10.20	Organized the 2022 Training Program for Green and Sustainable Finance.
10.18~12.15	Arranged the Futures Asset Management Personnel Training Program under the commission of TAIFEX.
10.28	Organized the 2022 New Trends in CFTC Derivatives Regulation Seminar
11.07~12.19	Organized 2022 Financial Technology Capacity Building Training Program - Artificial Intelligence.
11.11	Arranged the Derivatives Trading Strategies and Market Outlook for TWSE/TPEx Listed Companies under the commission of TAIFEX.
11.17~11.18	Organized the 2022 Global Asset Management Course (6th).
11.22	The SFI was graded A in the evaluation of private employment service agencies in placing domestic workers in the country conducted by the Department of Labor, Taipei City Government in 2022.
11.25	Held the 13th Best S&F Paper Award Ceremony and awarded the Best Paper Award for the 2021 Securities Market Quarterly.
12.04	Organized the third professional subject exam on securities, securities investment trust and consulting, and futures, internal control basic competency exam, and AML/CFT Specialist written exam in 2022.
12.07~12.09	Organized the 100th Securities and Futures Markets Regulations and Case Studies Seminars (for prosecutors investigators).

Update:2023/06/09

Message from the Chairman

Continuing to Deepen ESG Initiatives to Promote Green Finance: As the pandemic eased in 2022, the recovery of the investment market has emerged as a primary concern for investors. Simultaneously, global investors' demands for ESG continue to grow, expecting companies to reinforce corporate governance, create shareholder value, and fulfill their responsibility as members of society, while contributing to environmental protection efforts. As a think tank in the securities and futures industry, the Securities and Futures Institute (SFI) plays a vital role in addressing the rapid global trends. SFI provides research recommendations on topics such as the impact of the pandemic on capital market, Taiwan's carbon emissions trading mechanism, and enhanced governance information disclosure. Our primary objective is to provide practical recommendations to the securities and futures industry. Furthermore, in alignment with the release of the "Green Finance Action Plan 2.0" and "Green Finance Action Plan 3.0" by the Financial Supervisory Commission (FSC) in September 2022, SFI has launched a series of green finance courses. These courses aim to promote green finance across the financial industry, relevant organizations, and government agencies. Additionally, SFI has incorporated green finance-related topics into its book series and examination curriculum, while simultaneously launching online e-books to promote green finance.
Cultivating Financial Talent Reserves and Enhancing the Competitiveness of ractitioners: Given the increasing impact of declining birth rates, SFI not only conducts financial promotion and activities at colleges and universities throughout Taiwan but also actively cooperates with various business schools. The Institute encourages young students to obtain financial certifications at an early stage, assisting the financial industry in talent reserve planning. Moreover, SFI continuously organizes up-to-date training courses on corporate governance and internal control, and uditing, while has enhancing training programs on important topics such as financial technology, information security, and sustainable asset management. To further serve practitioners nationwide, SFI has begun to expand its range of online courses and services, while continuing to promote them throughout northern, central, southern, and eastern Taiwan. These efforts aim to cultivate and optimize talent for the securities and futures industry.; As the organization grows to meet the industry's trends, the SFI has developed an organizational culture that exhibits "services," "foresight," "innovation," and "internationalization" as its core competencies.
Leading Sustainable Finance and Fulfilling Social Responsibility: Since 2020, the SFI has been promoting sustainable finance and has implemented initiatives to manage greenhouse gas emissions, conserve energy, and reduce paper usage. In 2022, under continuous business growth, the Institute successfully reduced carbon emissions and energy consumption for the second consecutive year. Externally, the SFI continues to promote e-services. In 2022, the number of computer-based tests reached a new record high, accounting for 73% of total test takers. In line with the FSC's initiative to encourage the financial industry to contribute to social welfare, the SFI continues to offer its "Financial Literacy for the Youth" Program, assisting economically disadvantaged students in acquiring financial knowledge and skills. Additionally, the Institute participates in various public welfare ctivities, from blood donation campaigns to equipment donations in remote areas in southern Taiwan, striving to contribute as a member of society. Through this report, the SFI aims to provide stakeholders with a comprehensive understanding of the Institute's services in talent cultivation, promotion and advocacy, research of relevant issues, and professional assessments. Additionally, the report will emphasize the Institute's commitment to incorporating environmental, social, and governance requirements of sustainable finance and promoting the industry's steady progress in line with international trends and government policies..; To meet the different needs of corporations and individuals, the SFI devised the "Promoting Inclusion" strategy. It aims to satisfy the needs of securities & futures industry practitioners, investors, traders, and people from all levels for relevant knowledge and licenses in securities and futures, and to implement our duty and mission of achieving financial convenience and financial inclusion.; In response to global trends, we drew up the "Progressing Sustainability" strategy to assist the financial industry in fulfilling its corporate social responsibility and facilitating environmental sustainability, as well as the development of green finance, to create a win-win situation for perspectives of the economy, the environment, and the society. We are also dedicated to satisfy the needs of all stakeholders, such as the competent authority, industry business owners, participants of our training programs, the general public, social media, and most importantly, our employees, to the greatest extent to ensure the sustainable development of the SFI.