Code of Conduct and Ethics

Ethical Violations

E.SUN did not engage in corruption or bribery, conflicts of interest and money laundering or insider trading in 2023. Likewise, no suit or penalty was fined. The subsidiary, E.SUN Bank, was fined by the FSC due to the personal data incident and had three cases of harassment matter. Meanwhile, all business supervisory units and overseas business locations were told to take a hard look at the Code of Ethics for Salespeople among other key compliance issues for the year. Next, the Company‘s Compliance Division went on to conduct inspection and evaluation with a view to effectively enforcing risk management and reducing corruption risks.

Whistleblowing System

To establish a culture of integrity and transparency and promote sound operation, E.SUN has formulated the Procedure For Handling Whistleblowing Reports , which is applicable to its subsidiaries, foundations with direct or indirect cumulative donations exceeding 50%, and other organizations or legal entities with substantial control. The procedures clearly define the acceptance and investigation timeline, and establish dedicated handling units and independent investigation units. E.SUN also sets up whistleblowing hotlines, email inboxes, and mailing addresses on its official website and intranet for both internal and external personnel. The identity of whistleblowers is kept confidential, and adverse personnel measures against internal employee whistleblowers are strictly prohibited. Anonymous reporting is also allowed to actively prevent dishonest, fraudulent, and criminal activities.

In 2023, a total of 48 cases were accepted through whistleblowing and non-whistleblowing channels, all of which pertained to non-significant violations of internal regulations, consumer disputes, or events unrelated to banking operations. There were no violations related to integrity management. While these reports were immediately presented to the Compliance Division, the President appointed an appropriate department to conduct investigation. Investigation results were then submitted to the President, with the whistleblower's identity kept confidential and the departmental supervisor of the accused also given notice, and the relevant implementation will be reported to the Corporate Governance and Nomination Committee and the Board of Directors.