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Jiangsu Shentong Valve Co., Ltd. Anti-fraud Management System
Release time:
2022-10-26
Jiangsu Shentong Valve Co., Ltd.
anti-fraud management system
(formulated by the third meeting of the sixth board of directors)
Chapter I General Provisions
The first purpose
In order to standardize the effective development of the fraud prevention and control work of Jiangsu Shentong Valve Co., Ltd. (hereinafter referred to as "the company"), improve the efficiency of fraud prevention and control work, realize the institutionalization of fraud prevention and control, and give full play to the role of fraud prevention and control work in strengthening internal control management, promoting enterprise economic management and improving economic benefits, this system is formulated in accordance with the anti-fraud requirements of laws and regulations such as "Guidelines for the Application of Internal Control of Enterprises No. 17-Internal Information Transmission" and "Guidelines for Self-Regulation of Listed Companies on the Shenzhen Stock Exchange No. 1-Standardized Operation of Listed Companies on the Main Board.
Article 2 Definitions
The anti-fraud object referred to in this system refers specifically to the company's departments, wholly-owned or holding subsidiaries or other organizations and their directly affiliated branches (including holding subsidiaries), and the relevant responsible personnel of the above-mentioned institutions.
Article 3 Organizational System
The company's anti-fraud work organization system includes the company's board of directors, audit committee, management, audit department and all employees. Responsibilities of anti-fraud work of each organization:
The Board of Directors of (I) companies is responsible for urging management to establish a company-wide anti-fraud culture environment and to establish a sound internal control system, including fraud prevention, reporting and investigation.
The Audit Department of the (II) Company is the permanent body of the Company's anti-fraud work and is responsible for the implementation of the anti-fraud work of the Company and its subsidiaries, subsidiaries/other organizations. Specifically include:
1. Accepting and registering relevant fraud reports;
2. Organize the investigation of fraud cases;
3. Put forward opinions on the handling and accountability of fraud cases;
4. Conduct anti-fraud prevention campaigns;
5. Other anti-fraud related work.
The person in charge of each subsidiary/other organization and department of the (III) shall be responsible for the management of the occurrence of fraud in the unit and the department, and shall be the first person responsible for the anti-fraud of the unit and the department.
Chapter II Anti-fraud Management
Article 4 Ethical Construction of Employees
By strengthening the construction of corporate culture, strengthening the training of employees' professional ethics, guiding employees to establish correct values and professional ethics of integrity, and creating an anti-fraud corporate culture environment.
It mainly includes (but is not limited to) the following methods:
(I) The directors, supervisors and senior managers of the company shall take the lead in abiding by the company's various systems with practical actions, adhere to the professional ethics of integrity and integrity, and set an example;
The (II) publicizes the company's anti-fraud system, procedures and related measures within the company in various forms (through the release of rules and regulations, publicity or the Internet), focusing on the way to report complaints and report protection measures.
Article 5 Definition of Fraud
The term "fraud" in this system refers to the behavior of internal and external personnel of the company using deception and other illegal means to seek personal improper interests and damage the legitimate economic interests of the company; or to seek improper economic interests of the company, at the same time, it may bring improper interests to individuals.
It mainly includes but not limited to the following situations:
1. taking bribes or kickbacks;
2. Transferring to others transactions that would normally benefit the organization;
3. Illegal use of company assets, embezzlement, misappropriation and theft of company assets;
4. Make the company pay for false transactions or matters;
5. Deliberate concealment or misstatement of transactions;
6. Disclosing the company's trade secrets.
Article 6 Anti-fraud reporting channels
As a permanent body of anti-fraud work, the Audit Department assists the company's management in determining the key areas, key links and main contents of anti-fraud, and reasonably pays attention to and checks for possible fraud in the course of daily work, and is responsible for receiving reports from employees or external third-party personnel and managing e-mails of fraud cases.
The company should set up the following main reporting channels:
1. Report telephone;
2. Report electronic E-mail;
3. The report letter is mailed.
Article 7 Anti-fraud Investigation and Notification
After receiving the reported information, the Audit Department shall carry out internal assessment of the case and investigation of the case. If necessary, it may coordinate with personnel, president's office, trade union and other institutions to form a joint investigation team to carry out investigation work.
After the completion of the anti-fraud investigation and audit, the disciplinary departments and personnel shall be criticized and educated or informed of criticism, and a written record shall be formed to report the results of the case investigation to the leaders in charge and the audit committee of the board of directors in a timely manner.
Involving illegal crime, according to the relevant laws and regulations can be transferred to the judicial body.
Article 8 Protection of whistleblowers
Anti-fraud staff should be loyal to their duties, diligent and honest, keep secrets, and if the case they handle has an interest in themselves or their close relatives, they should withdraw. In accepting and investigating reported cases, anti-fraud staff shall abide by the following provisions:
1. It is strictly forbidden to disclose the name, department and address of the informant;
2. It is not allowed to show the report letter and other materials involving the personal information of the whistleblower to the department under investigation or the person under investigation;
3. Publicizing reports and rewarding those who have made meritorious reports as appropriate, except with the consent of the whistleblower, shall not disclose the name and department of the whistleblower in an explicit or implicit manner.
Chapter III Supplementary Provisions
Article 9 Matters not covered in this system shall be implemented in accordance with relevant national laws, regulations, regulatory documents and relevant provisions of the company's articles of association. If this system is inconsistent with the relevant laws, regulations, normative documents and the relevant provisions of the company's articles of association, the relevant laws, regulations, normative documents and the company's articles of association shall prevail.
Article 10 This system shall be formulated and interpreted by the internal control working group of the Company.
Article 11 This system shall be formally implemented from the date of adoption by the Board of Directors of the Company.
Board of Directors of Jiangsu Shentong Valve Co., Ltd.
October 26, 2022
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