Penalty measures The Bank’s punishment for the violating of Financial Institution Business Act, using of inside information accords with the provisions of the Securities and Exchange Act, violating of Non-Violation Against Intellectual Property Rights or Copyrights, Anti-Corruption, Anti-bribery for the Bank’s benefit or Anti-bribery in business dealing with government and private organization and all other relevant rules and regulations of the authorities. It has also imposed punishment for employees’ disciplinary misconduct regarding business code of conduct and ethics to ensure the management and the staff perform duties with transparency and based on professional code of conduct and treat all stakeholders fairly. 8.1.4.3 Anti-Corruption Policy The Board of Director considered the appropriateness and approved the annual reviewed of The Anti-Corruption Policy. The Bank established the corruption risk management process which is align with guideline of the Private Sector Collective Action Coalition Against Corruption (CAC). The Bank oversees directors and employees to abide by this policy strictly and the Bank has measured to protect and give fairness to employees who deny or inform clue action on corruption from harassment, harm, penalty, demotion or threats. All staff need to attend the Anti-Corruption training on annual basis. The course is classified as the mandatory course for all employees. Audit Committee supervise the adequacy of the internal control for preventing the corruption risk. 8.1.4.4 Whistleblowing Policy The Bank provide the channel for reporting of whistleblowing, Audit Committee as independent body, consider and supervision the whistleblowing cases which were reported by Compliance. In 2021, there were 10 cases of whistleblowing which 7 cases out of 10 cases were regarding fraud or corruption, and 3 cases out of 10 cases were bleaching the bank’s policy. The relevant business units shall report the result of the corrective action to the reporter within required timeline. The reporter’s right shall be protected according to the bank’s policy. The restricted right to access to whistleblowing cases was granted to proper person. 8.2 Performance Result Report of the Audit Committee during the Past Year (AC) Performance Result Report of Audit Committee is disclosed via the bank’s website regarding Board Committees’ reports, detail of meetings and attendance of directors in Audit Committee is disclosed in topic 8.1.2 Board of Director Meetings and Director’s Remuneration. 8.3 Performance Result Reports of Other Board Committees (NRCC, ROC, BOED, CC, ITOC) Performance Result Report of Other Board Committees is disclosed via the bank’s website regarding Board Committees’ reports, detail of meetings and attendance of directors in Committee is disclosed in topic 8.1.2 Board of Director Meetings and Director’s Remuneration. 225 Form 56-1 One Report 2021
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