合規管理
福田汽車合規準則
Beiqi Foton Motor Co. (hereinafter referred as "the Company") is a cross-regional, cross-trade and cross-ownership state-holding listed company. The Company has the vision to become a world-class commercial vehicle company equipped with leading technology and leading quality. Integrity, compliant business conduct, and an internal control system that integrates business and finance are indispensable and important guarantees.
1.Basic Compliance Requirements
The Company and all its employees shall comply with laws and regulations, regulatory rules and the Company’s management system. The employee shall at the same time comply with the professional ethics.
1.1 Compliance requirements for the managerial personnel
The managerial personnel shall take the lead and set the example, always maintain a sense of risk and compliance during business development, and be responsible for acts of their own and of their subordinates.
1.2 Compliance requirements for employees
The act and behavior of every employee may externally influence the reputation of the Company, and internally influence the corporate management and the cultivation of our enterprise culture. Therefore, every employee shall abide by the values of integrity, pay attention to their own words and deeds, and have zero tolerance for any unethical or illegal behavior. All the employee shall treat people and act his or her part in good faith, respect others, constantly improve personal skills, enhance their business capabilities, and diligently fulfill their duties.
1.3 Compliance requirements for business partners
Business partners of the Company (including but not limited to suppliers, distributors and service providers) shall identify with the compliance culture of the Company, observe law and discipline, strictly prohibit corruption, avoid conflicts of interest, and support Foton to build a strong and open integrity system.
2.Applicable Scope
These compliance guidelines apply to all the employees and expatriates of the Company, its branches (business divisions), and its wholly-owned subsidiaries. Expatriates shall additionally comply with compliance regulations of the host companies.
Other participating and holding companies, and all their employees are eligible for reference.
3.Guidelines for Dealing with Business Partners and Third Parities
3.1 Anti-corruption
The Company prohibits the employees from offering or accepting bribes or other acts of corruption. Every employee shall neither directly or indirectly offer any business partner or third party inappropriate interests (including but not limited to money or any goods or services of value) in any form, nor directly or indirectly accept inappropriate interests (including but not limited to money or any goods or services of value) in any form offered by any business partner or third party.
3.2 Fair competition and Antitrust
Fair competition would contribute to fostering good market circumstances, and furthermore create greater social benefits. The commercial activities of the Company shall comply with the relevant provisions of anti-Unfair Competition Law and Anti-monopoly Law. Once the Company discovers and confirms the existence of the above behavior, it shall immediately stop and take remedial measures.
3.3 Anti-money laundering
The Company shall carefully check the identity of its customers, business partners or potential business partners, and the Company shall only conduct business with business partners that comply with the law, have a legitimate source of operating funds, and are honest and reliable. The Company shall not provide convenience for any act of money-laundering.
All the employees must comply with relevant legal and financial regulations related to cash and payments.
3.4 Export control
The Company shall comply with export control, trade control and goods embargo regulations of the United Nation and relevant countries, and guarantee that its import and export of products are in compliance with export control, trade control and goods embargo regulations.
3.5 Donation
The Company shall positively and duly contribute to society, and shoulder its corresponding social responsibilities.
Any donation and sponsorship activities carried out by the Company shall comply with the relevant laws and regulations, the Company's regulations and corresponding procedures, and shall ensure that the purpose of the donation and sponsorship activities, the recipients and the donated and sponsored items, etc. are effectively recorded.
3.6 Avoidance of conflict of interests
The Company respects the personal interests and private lives of employees, but hopes to avoid conflicts between personal interests and the interests of the Company. All employees shall take the interests of the Company as the principle when making various business decisions and avoid conflicts of interests. Employees seeking personal gain at the expense of the Company shall be prohibited.
Conflicts of interests could be including e.g. employees directly or indirectly doing businesses with the Company without its prior approval, engaging in part-time jobs interfering with the fulfillment of their job responsibilities within the Company, doing businesses in competition with those of the Company, and etc.
Without approval, employees and their close relatives shall not directly or indirectly develop loan, investment and other financial relationship with the business partners. However, the personal investment of purchasing liquid stocks of the aforementioned business partners at the secondary market is exceptionally allowed, and such stock investments shall comply with relevant laws and regulations.
4.Confidentiality
Employees shall keep the confidential information of the Company and that the Company is obliged to keep in confidentiality (including but not limited to the product design and operational data of the Company, and etc.) they learn during their work. Employees shall only utilize such confidential information pursuant to their responsibilities and comply with laws, regulations and relevant requirements of the Company.
5.Information Security and Privacy Protection
Employees must comply with the relevant laws and regulations and the Company's internal regulations on information security and privacy protection, and shall not disclose, tamper, steal or use relevant information for personal gain, and truly protect the privacy information collected in accordance with the law. The permissions and procedures, etc. for use and inquiry of relevant information shall be clarified to ensure compliance.
6.Records and Reports
The Company must maintain effective measures of processes and controls, in order to keep the corporate business in compliance with laws and regulations. All the employee in the Company must guarantee that the document records involved in their work are complete, accurate and authentic.
The financial personnel shall guarantee that the account book, certificate and statement reasonably and accurately reflect transactions and disposition of the corporate assets in details, and record transactions of the Company pursuant to applicable accounting standard for business enterprises. The Company shall issue public report according to relevant commercial and legal requirements.
7.Quality
The Company shall continue improving the quality of its products and services, with the ideal of providing customers the best products and services and the purpose of meeting and surpassing the needs of customers.
The products produced by the Company shall comply with national laws, regulations and policy requirements, including but not limited to compliance with the requirements of the product quality law, production consistency requirements and environmental protection requirements, etc.
8.Environmental Protection and Safe Production
The Company highly values environmental protection, conservation of natural resources, and safety production, strictly complys with relevant laws and regulations on environmental protection and safety production, and continues to take a safe and environmentally friendly business development.
9.Gifts, Cash and Securities
The Company has specific regulations on the collection of gifts and securities, etc., which shall be strictly implemented in the specific business operations.
10.Prohibition of Insider Trading
The Company shall handle insider information related to transactions in accordance with relevant capital market laws and regulations, and shall not tolerate insider trading. If employees need to know insider information for business purposes, they shall comply with relevant laws and regulations of the Company on insider trading.
11.Communication Compliance
The Company attaches great importance to brand communication and shall ensure that the content of the communication is authentic and reliable, and shall not infringe the intellectual property rights of any third party.
Every employee of the Company also represents the image of the Company in communication with the outside world, and has the responsibility and obligation to maintain the image of the Company. Unless authorized by the Company, he/she shall not speak on behalf of the Company.
12.Employee Rights Protection
The Company shall provide every employee with fair work opportunities. The Company shall not discriminate against anyone, and shall not tolerate any discrimination based on ethnicity or gender. The Company shall actively create a working environment where everyone's personality can be fully developed, and establish a sound occupational health and safety system.
13.Compliance Enquiry and Report
14.1 Compliance enquiry
Legal Department provides compliance enquiry services to all the employees.
Phone number for compliance enquiry: 86-10-80710462
E-mail for compliance enquiry: fthgzx@foton.com.cn
14.2 Compliance report
The Company has set up a reporting phone and e-mail to receive compliance reports.
The Company shall keep the reports in strict confidentiality and protect the reporter or informer from retaliation, and award the reporter or informer appropriate incentives in the event of the Company’s losses being recovered. Please report or inform via the following methods:
Phone number for report：86-10-80708855
E-mail for report: fthgjb@foton.com.cn
Address: Shayang Road, Shahe County, Changping District, Beijing, 102206
Attn: Legal Department, Beiqi Foton Motor Co.,Ltd
14.3 Punishment
Any violation of these Compliance Guidelines shall be correspondingly punished to the extent of termination of labor contracts or litigations.
14.Supplementary
15.1 These Compliance Guidelines are approved by the Employee Representatives Congress and come into force on the date of issuance.
15.2 These Compliance Guidelines are the normative document with legal effects within the Company. Any mechanism, policy or rule in their parts and/or in their whole contrary to these Compliance Guidelines in their parts and/or in their whole is void.
15.3 The Company has authorized the Legal Department to compile, amend, and issue detailed rules for enforcement, instructions, or behavior guidelines of these Compliance Guidelines.
15.4 This document comes into force from the date of implementation, and the original "Foton Motor Group Criterion of Compliance Management Measures" (FTOP.10012.51.0-2017) shall be repealed at the same time.
北汽福田汽車股份有限公司（以下簡稱“公司”）是一家跨地區、跨行業、跨所有制的國有控股上市公司，公司的愿景是“成為綠色科技和市場領先的國際化企業”，公司的使命是“為能源革命提供綠色解決方案”，公司以“綠色科技驅動能源革命 數字變革深化價值創造”為經營理念，堅持“敢闖 敢試 敢贏”的核心價值觀，全力以赴為目標而戰，而誠信、合規的商業行為以及業財結合的內控體系是不可或缺的重要保障
1.基本的合規要求
公司及所有員工均應遵守法律法規、監管規定和公司的管理制度，同時員工還應遵守職業道德。
1.1 對管理人員的合規要求
公司的管理人員應當以身作則，在業務開展中時刻保持風險意識、合規意識，對自身及下屬行為負責。
1.2 對員工的合規要求
每一位員工的行為對外都可能影響到公司的聲譽，對內則影響公司的內部管理及文化建設。因此，恪守誠信的價值觀，注重自己的言行，對任何不道德或違法行為零容忍。
公司所有員工都應當誠信待人、誠信做事，尊重他人，不斷改進個人技能，提升業務能力，勤勉完成崗位職責，并將公司的8條軍規作為行為規范。
1.3 對商業伙伴的合規要求
公司的商業伙伴（包括但不限于供應商、經銷商、服務商等）應認同公司的合規文化、遵紀守法、嚴禁腐敗、避免利益沖突，支持福田打造強有力的、公開的誠信體系
2.適用范圍
本合規準則適用于公司及分公司（事業部）、全資子公司的所有員工及派出人員。此外，派出人員還應遵守被派入單位的合規管理規定。
其他參控股公司及其所有員工參照適用。
3.與商業伙伴和第三方的行為規范
3.1 反腐敗
公司禁止員工的任何行賄、受賄或其他貪腐行為，任何員工不得以任何形式直接或間接向任何商業伙伴、第三方輸送利益或從商業伙伴、第三方處獲得不當利益（包括但不限于金錢或其他任何有價物品或服務等）。
3.2 公平競爭與反壟斷
公平競爭有助于培養良好的市場環境，實現更高的社會效益。公司經營活動應遵守反不正當競爭法、反壟斷法的相關規定。公司一旦發現并確認存在上述行為，將立即制止并采取救濟措施。
3.3 反洗錢
公司謹慎檢查客戶、商業合作伙伴或潛在商業合作伙伴的身份，公司只與符合法律規定、經營資金來源合法、誠信可靠的商業合作伙伴開展業務。公司不為任何洗錢活動提供便利。
所有員工必須遵守關于現金與付款等法律法規和財務的相關規定。
3.4 出口管制及經濟制裁
公司的政策是遵守業務所在國所有可適用的法律法規，包括出口管制和經濟制裁的相關規定。
3.5 承擔社會責任
公司將積極為社會做出應有的貢獻，承擔相應的社會責任。
公司進行的任何捐贈、贊助活動均需遵守相關的法律規定及公司的制度規定，履行相應的程序，并確保有效記錄捐贈及贊助活動的目的、接受人及捐助贊助物品等。3.6 避免利益沖突
公司尊重員工的個人興趣和私人生活，但希望避免個人利益和公司利益之間的沖突。所有員工在做出各類商業決策時要以公司利益為原則，避免利益沖突，禁止員工以犧牲公司利益為代價獲取個人利益。
利益沖突包括員工未經公司允許直接或間接與公司進行交易，或從事妨礙其履行崗位職責的兼職工作，經營與公司相競爭的業務等。
公司員工及其近親屬未經批準不得直接或間接地與商業合作伙伴有借、貸、投資及金融上的往來，但個人投資上述單位二級市場流通股票的行為除外，且該等股票投資行為需遵守國家相關法律規定。
4.保護公司資產
員工應當保護公司資產，包括但不限于房產、機器設備等有形資產，也包括商標、專利、著作權等無形資，避免公司資產受損或被濫用。員工只能以完成其工作、開展公司業務為目的使用公司資產，未經授權，任何人不得使用和處置公司的任何資產。
5.保守公司秘密
員工應嚴格保守在工作過程中所知悉的公司保密信息以及公司負有保密義務的保密信息，包括但不限于員工獲知的與本業務工作相關的技術信息和經營信息、項目信息等，如有關計劃、方案、制度、會議記錄、經營決策、設計、技術、方法、數據等方面的信息。自員工接收保密信息后至公司對外正式公告披露相關保密信息或業務信息并為公眾所知悉之日前，員工的保密義務長期有效，員工只能依據其崗位職責使用該等保密信息且應遵循法律法規及公司的使用要求。
6.網絡安全、數據安全與隱私保護
員工必須遵守網絡安全、數據安全與隱私保護的相關法律法規及公司內部規定，禁止泄露、篡改、竊取相關信息或利用相關信息謀私的行為，切實保護依法收集的相關信息。明確相關信息使用、查詢的權限和程序等，確保使用合法合規。
7.記錄和報告
公司必須維持有效的流程和控制措施，以確保公司業務開展合法合規。公司所有員工必須確保其執行業務所涉及的文檔記錄完整、準確及真實。
公司財務人員應確保賬簿、憑證和報表合理、準確且詳細地反映公司資產交易和處置情況，并按照適用的企業會計準則記錄公司的交易。公司應按照相關的商業和法律要求對外報告。
8.產品合規
公司將秉持為客戶提供最優質的產品和服務的理念，以滿足并超越客戶需求為目的，持續提升產品和服務的品質。
公司生產的產品需符合國家的法律法規及政策要求，包括但不限于符合產品質量法的要求、生產一致性的要求、環保要求等。
9.環保合規與安全生產
公司高度重視環境保護、資源節約及安全生產，嚴格遵守環境保護、安全生產等相關法律法規，持續走安全環保的經營發展道路。
10.禮品、禮金及有價證券
公司對禮品、禮金及有價證券的收繳等有具體的規定，在具體業務操作時必須嚴格按照公司相關規定執行。
11.禁止內幕交易
公司根據資本市場相關法律法規處理與交易相關的內幕信息，不容忍內幕交易。若員工因業務需要知悉內幕信息的，需遵守法律相關規定及公司關于內幕交易的相關規定。
12.傳播合規
公司非常重視品牌傳播工作，確保傳播的內容真實、可靠，且不侵犯任何第三方的知識產權。
公司的每位員工在與外界的溝通中也代表著公司的形象，有責任和義務維護公司的形象，除非獲得公司授權，否則不得自行代表公司在任何公共論壇、外部即時通訊或社交媒體通訊平臺上公開發表言論。
13.員工權益保護
公司為每位員工提供公平的工作機會。公司不歧視任何人，不容忍基于民族、性別等任何歧視行為存在。公司積極創建一種能讓每個人的個性得到充分發展的工作環境，建立健全職業健康安全體系。
14.公司治理與信息披露
公司嚴格按照公司法、證券法、上市公司治理規則等相關法律法規執行，不斷完善公司治理結構、提高公司治理水平，規范公司運作，嚴格按照證監會及證券交易所的相關規定履行信息披露義務。
15.人力資源合規
公司嚴格按照勞動法、勞動合同法等相關法律法規的要求開展工作，為公司培養和選拔優秀的人才，為公司的可持續發展提供人才保障。
16.干部管理合規
公司嚴格按照干部管理的相關法律法規和要求開展工作，進一步落實黨管干部，切實加強黨委對選人用人工作的領導和把關作用，高效合規開展干部選任與監督工作，建立科學的考核評價體系，全方位落實推進干部人才發現、使用、培養機制。
17.境外合規
公司及員工在境外開展任何經營活動時，除應當遵守境內的相關法律法規及公司的規章制度外，還應當遵守所在地及所適用的其他國家和地區的法律法規，并應當遵守有關國際條約、監管規定、行業準則、商業管理和道德規范。
18.合規咨詢與舉報
18.1 合規咨詢
法律部為全體員工提供合規咨詢服務。
合規咨詢電話：86-10-80710462
咨詢郵箱：fthgzx@foton.com.cn
18.2 合規舉報
公司設置舉報電話、信箱接收合規舉報。
公司對所收到的舉報內容嚴格保密，并保護舉報人免受報復，對于追回公司損失的,可給予舉報人適當獎勵。舉報方式如下：
舉報電話：86-10-80708855
舉報郵箱：fthgjb@foton.com.cn
郵寄地址：北京市昌平區沙河鎮沙陽路
郵編：102206
收件人：北汽福田汽車股份有限公司法律部
