Annual Report 2020

舜宇光學科技（集團）有限公司 • 2020 年報 77 Corporate Governance Report 企業管治報告 • Monitored the implementation of the risk response measures every month and revised the response plan in a timely manner; • Conducted internal control review of key business processes of each business segment and department; • The internal audit department independently reviewed the adequacy and effectiveness of the risk management system framework and submitted the review results and recommendations on improvement to the Audit Committee; • Collected the major risk events from each business segment and department every month and formed a risk event database; • Risk management review meetings were held regularly by each business segment and department; and • The Group held the annual conclusion meeting of risk management and initiated the self-assessment of risk management for 2021. Risk Management Policy Framework Effective risk management and internal control systems are critical in achieving the Group’s strategic objectives. The Group has established a risk management policy framework, which is approved by the Board and the Audit Committee, and executed by the Risk Management Group. It authorizes the Group to mandates a consistent and effective approach applied across the Group to fully manage the risks associated with strategies, financing, operations, market and compliance. The following key processes are adopted under the Group’s ERM framework: ‧ 每月監控風險應對措施落實情況，並及時 修訂應對計劃； ‧ 各事業分部和部門重點業務流程內控審 閱； ‧ 內部審計部獨立審閱風險管理體系建設的 充足性及有效性，把審閱結果及改善建議 提交到審核委員會； ‧ 每月收集各事業分部和部門重要風險事 件，並形成風險事件庫； ‧ 各事業分部和部門定期召開風險管理檢討 會議；及 ‧ 本集團召開風險管理年度總結會議，啟動 二零二一年風險管理自評。 風險管理政策框架 有效的風險管理及內部監控系統對實現本集團 的戰略目標至關重要。本集團已制定風險管理 政策框架，由董事會及審核委員會審核通過， 並由風險管理工作小組執行，授權本集團採用 貫徹一致及有效的方針，充分管理與戰略、財 務、運營、市場及合規相關的風險。 本集團企業風險管理框架遵循以下原則和主要 流程：