Annual Report 2023

Corporate Governance Report 企業管治報告 99 舜宇光學科技（集團）有限公司 • 2023 年報 舉報制度 本集團設立多種舉報渠道，各渠道由審核委員 會及內部審計部負責。本集團制定《舉報須知 和獎勵、保護辦法》，明確舉報獎勵及舉報保護 制度。本公司已制定嚴格的保密措施和程序， 對於舉報人的信息（特別是涉及到個人隱私的 內容）以及提供的相關資料均予以保密。本公 司將全力保護舉報人的人身、財產安全，並根 據舉報人的意見採取多種保護措施。涉及違法 犯罪的，本公司將協助舉報人追究相應人員的 法律責任。 反貪污 本集團已制定《反貪污制度》，以預防和控制商 業賄賂、商業利益輸送、財務侵佔等各類貪污 和欺詐事件，且於二零二三年年內，本集團向 關鍵敏感崗位人員提供反貪污相關的培訓，強 化其反貪污意識。針對關連交易，本集團制定 《關連交易制度》，要求相關崗位人員進行聯繫 人及╱或關連人士申報，其中管理職位在副部 長及以上的幹部及關鍵敏感崗位人員簽訂《反 貪污保證書》；關鍵敏感崗位人員還需簽訂《廉 潔從業承諾書》，定期輪崗並進行述廉報告以加 強內部監控。供應商亦需簽訂《誠信經營承諾 書》，並進行聯繫人及╱或關連人士申報。 WHISTLEBLOWING POLICY The Group has set up various whistleblowing channels, and the Audit Committee and the internal audit department are delegated to be in charge of each of the channels. The Group has formulated the Whistleblowing Instructions and Rewards and Protection Measures ( 《舉報須知和獎勵、保護辦法》 ) to clarify the policies on whistleblowing rewards and whistleblowing protection. The Company has established strict confidentiality measures and procedures to keep the information of the whistleblowers (especially the information related to personal privacy) as well as the relevant information provided, confidential. The Company will make every effort to protect the personal and property safety of the whistleblowers, and take various protection measures based on the whistleblowers’ opinions. For any violations of laws, the Company will assist the whistleblowers to take actions for the legal liabilities against the corresponding persons. ANTI-CORRUPTION The Group has formulated the Anti-Corruption Policy ( 《反貪污制度》 ) to prevent and control various corruption and fraud incidents such as commercial bribery, commercial benefit transmission and financial embezzlement. During the year of 2023, the Group had provided the trainings related with anti-corruption to employees in key sensitive positions, in order to strengthen their awareness of anti-corruption. For connected transactions, the Group has established the Connected Transaction Policy ( 《關連交易制度》 ), requiring personnel in relevant positions to make declarations in relation to their associates and/ or related persons. Among them, each personnel with management title of deputy department head and above, and those occupying key sensitive positions have to sign an Anti-Corruption Guarantee ( 《反 貪污保證書》 ). The employee occupying a key sensitive position also has to sign an Integrity Guarantee ( 《廉潔從業承諾書》 ) and a system involving regular rotation and integrity reports have been implemented to strengthen the internal control. Suppliers shall also sign the Undertaking for Operating with Integrity ( 《誠信經營承諾書》 ) and make declarations in relation to their associates and/or related persons.