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Regulations, Guidelines and
Commitment
- "Ethical Corporate Management Best
Practice Principles" and "Ethical Procedures and Code of
Conduct"
- "Code of Ethical Conduct of Directors"
- "E.Sun Employee Service Code of
Conduct and Behavior Standards"
- "E.SUN's Commitment to
Anti-corruption, Anti-bribery, and Anti-competitive Behavior"
- "the Treating Customers Fairly
Policies and Strategies"
- "the Regulations Governing the
Concurrent Serving Management for Responsible Persons"
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Applicability
- E.SUN directors, managers, employees,
nominees, and other entities with substantive control
- Suppliers
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Evaluation Mechanism and
Relevant Practices
- Risk evaluation mechanism for
unethical behaviors is established. Preventive measures and
relevant management mechanisms are included in the procedures of
selfassessment on legal compliance. Regular analyses are
conducted to review the adequacy and effectiveness of the
preventive mechanisms.
- Effective management and
implementation is achieved through self-assessment and
self-evaluation for compliance. In addition, high-risk units are
selected for the legal compliance test on important management
issues with the aim of improving and adjusting the legal
compliance mechanism.
- The audit unit performs independent
risk-oriented audits to ensure the uninterrupted operation of
the organization as a whole. All units work together to manage
and prevent unethical behavior.
- E.SUN also links employee performance
with remuneration and includes ethical management in the
performance assessment and human resource policies with a clear
and effective disciplinary system in place.
- All E.SUN directors and executive
managers have signed the statement of ethical corporate
management; All E.SUN employees have signed the "E.SUN Employee
Service Code of Conduct and Behavior Standards."
- The Company will assess the legitimacy
of counterparties and acquire a full understanding of their
ethical management practices and compliance with the corporate
social responsibility policy before starting a business with
suppliers. Contracts always contain explicit provisions on
ethical management and corporate social responsibility.
Corruption and bribery are handled with zero tolerance. E.SUN
promises that its business activities around the globe are free
from any form of corruption and bribery.
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■ Ethical Violations
E.SUN did not engage in any code of conducts violations, including corruption or
bribery,
discrimination or harassment, customer privacy, conflicts of interest and money
laundering
or insider trading in 2022. Likewise, no suit or penalty was fined. 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 2022, a total of 33 cases were accepted through whistleblowing and nonwhistleblowing
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.
| Year |
2019 |
2020 |
2021 |
2022 |
| Totals |
31 |
28 |
49 |
33 |
| After investigation,
it has been confirmed that there is a
violation of integrity management and code of conduct. |
3 |
1 |
4 |
0 |
| Integrity Management
Violation |
2019 |
2020 |
2021 |
2022 |
| Through
whistleblowing channels |
1 |
1 |
4 |
0 |
| Through other
channels (such as self-examination, audit, etc.) |
0 |
5 |
0 |
0 |
| Total breaches of
integrity management |
1 |
6 |
4 |
0 |
| Investigation
completed and closed |
1 |
6 |
4 |
0 |
| Under investigation
|
0 |
0 |
0 |
0 |
| Corruption |
1 |
1 |
0 |
0 |
