合規(guī)管理
福田汽車合規(guī)準(zhǔn)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(qū)、跨行業(yè)、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(lǐng)先的國際化企業(yè)”，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(qū)動能源革命 數(shù)字變革深化價值創(chuàng)造”為經(jīng)營理念，堅持“敢闖 敢試 敢贏”的核心價值觀，全力以赴為目標(biāo)而戰(zhàn)，而誠信、合規(guī)的商業(yè)行為以及業(yè)財結(jié)合的內(nèi)控體系是不可或缺的重要保障
1.基本的合規(guī)要求
公司及所有員工均應(yīng)遵守法律法規(guī)、監(jiān)管規(guī)定和公司的管理制度，同時員工還應(yīng)遵守職業(yè)道德。
1.1 對管理人員的合規(guī)要求
公司的管理人員應(yīng)當(dāng)以身作則，在業(yè)務(wù)開展中時刻保持風(fēng)險意識、合規(guī)意識，對自身及下屬行為負(fù)責(zé)。
1.2 對員工的合規(guī)要求
每一位員工的行為對外都可能影響到公司的聲譽(yù)，對內(nèi)則影響公司的內(nèi)部管理及文化建設(shè)。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(yīng)當(dāng)誠信待人、誠信做事，尊重他人，不斷改進(jìn)個人技能，提升業(yè)務(wù)能力，勤勉完成崗位職責(zé)，并將公司的8條軍規(guī)作為行為規(guī)范。
1.3 對商業(yè)伙伴的合規(guī)要求
公司的商業(yè)伙伴（包括但不限于供應(yīng)商、經(jīng)銷商、服務(wù)商等）應(yīng)認(rèn)同公司的合規(guī)文化、遵紀(jì)守法、嚴(yán)禁腐敗、避免利益沖突，支持福田打造強(qiáng)有力的、公開的誠信體系
2.適用范圍
本合規(guī)準(zhǔn)則適用于公司及分公司（事業(yè)部）、全資子公司的所有員工及派出人員。此外，派出人員還應(yīng)遵守被派入單位的合規(guī)管理規(guī)定。
其他參控股公司及其所有員工參照適用。
3.與商業(yè)伙伴和第三方的行為規(guī)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(yè)伙伴、第三方輸送利益或從商業(yè)伙伴、第三方處獲得不當(dāng)利益（包括但不限于金錢或其他任何有價物品或服務(wù)等）。
3.2 公平競爭與反壟斷
公平競爭有助于培養(yǎng)良好的市場環(huán)境，實現(xiàn)更高的社會效益。公司經(jīng)營活動應(yīng)遵守反不正當(dāng)競爭法、反壟斷法的相關(guān)規(guī)定。公司一旦發(fā)現(xiàn)并確認(rèn)存在上述行為，將立即制止并采取救濟(jì)措施。
3.3 反洗錢
公司謹(jǐn)慎檢查客戶、商業(yè)合作伙伴或潛在商業(yè)合作伙伴的身份，公司只與符合法律規(guī)定、經(jīng)營資金來源合法、誠信可靠的商業(yè)合作伙伴開展業(yè)務(wù)。公司不為任何洗錢活動提供便利。
所有員工必須遵守關(guān)于現(xiàn)金與付款等法律法規(guī)和財務(wù)的相關(guān)規(guī)定。
3.4 出口管制及經(jīng)濟(jì)制裁
公司的政策是遵守業(yè)務(wù)所在國所有可適用的法律法規(guī)，包括出口管制和經(jīng)濟(jì)制裁的相關(guān)規(guī)定。
3.5 承擔(dān)社會責(zé)任
公司將積極為社會做出應(yīng)有的貢獻(xiàn)，承擔(dān)相應(yīng)的社會責(zé)任。
公司進(jìn)行的任何捐贈、贊助活動均需遵守相關(guān)的法律規(guī)定及公司的制度規(guī)定，履行相應(yīng)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(yè)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(jīng)公司允許直接或間接與公司進(jìn)行交易，或從事妨礙其履行崗位職責(zé)的兼職工作，經(jīng)營與公司相競爭的業(yè)務(wù)等。
公司員工及其近親屬未經(jīng)批準(zhǔn)不得直接或間接地與商業(yè)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(guān)法律規(guī)定。
4.保護(hù)公司資產(chǎn)
員工應(yīng)當(dāng)保護(hù)公司資產(chǎn)，包括但不限于房產(chǎn)、機(jī)器設(shè)備等有形資產(chǎn)，也包括商標(biāo)、專利、著作權(quán)等無形資，避免公司資產(chǎn)受損或被濫用。員工只能以完成其工作、開展公司業(yè)務(wù)為目的使用公司資產(chǎn)，未經(jīng)授權(quán)，任何人不得使用和處置公司的任何資產(chǎn)。
5.保守公司秘密
員工應(yīng)嚴(yán)格保守在工作過程中所知悉的公司保密信息以及公司負(fù)有保密義務(wù)的保密信息，包括但不限于員工獲知的與本業(yè)務(wù)工作相關(guān)的技術(shù)信息和經(jīng)營信息、項目信息等，如有關(guān)計劃、方案、制度、會議記錄、經(jīng)營決策、設(shè)計、技術(shù)、方法、數(shù)據(jù)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(guān)保密信息或業(yè)務(wù)信息并為公眾所知悉之日前，員工的保密義務(wù)長期有效，員工只能依據(jù)其崗位職責(zé)使用該等保密信息且應(yīng)遵循法律法規(guī)及公司的使用要求。
6.網(wǎng)絡(luò)安全、數(shù)據(jù)安全與隱私保護(hù)
員工必須遵守網(wǎng)絡(luò)安全、數(shù)據(jù)安全與隱私保護(hù)的相關(guān)法律法規(guī)及公司內(nèi)部規(guī)定，禁止泄露、篡改、竊取相關(guān)信息或利用相關(guān)信息謀私的行為，切實保護(hù)依法收集的相關(guān)信息。明確相關(guān)信息使用、查詢的權(quán)限和程序等，確保使用合法合規(guī)。
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(yè)務(wù)開展合法合規(guī)。公司所有員工必須確保其執(zhí)行業(yè)務(wù)所涉及的文檔記錄完整、準(zhǔn)確及真實。
公司財務(wù)人員應(yīng)確保賬簿、憑證和報表合理、準(zhǔn)確且詳細(xì)地反映公司資產(chǎn)交易和處置情況，并按照適用的企業(yè)會計準(zhǔn)則記錄公司的交易。公司應(yīng)按照相關(guān)的商業(yè)和法律要求對外報告。
8.產(chǎn)品合規(guī)
公司將秉持為客戶提供最優(yōu)質(zhì)的產(chǎn)品和服務(wù)的理念，以滿足并超越客戶需求為目的，持續(xù)提升產(chǎn)品和服務(wù)的品質(zhì)。
公司生產(chǎn)的產(chǎn)品需符合國家的法律法規(guī)及政策要求，包括但不限于符合產(chǎn)品質(zhì)量法的要求、生產(chǎn)一致性的要求、環(huán)保要求等。
9.環(huán)保合規(guī)與安全生產(chǎn)
公司高度重視環(huán)境保護(hù)、資源節(jié)約及安全生產(chǎn)，嚴(yán)格遵守環(huán)境保護(hù)、安全生產(chǎn)等相關(guān)法律法規(guī)，持續(xù)走安全環(huán)保的經(jīng)營發(fā)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(guī)定，在具體業(yè)務(wù)操作時必須嚴(yán)格按照公司相關(guān)規(guī)定執(zhí)行。
11.禁止內(nèi)幕交易
公司根據(jù)資本市場相關(guān)法律法規(guī)處理與交易相關(guān)的內(nèi)幕信息，不容忍內(nèi)幕交易。若員工因業(yè)務(wù)需要知悉內(nèi)幕信息的，需遵守法律相關(guān)規(guī)定及公司關(guān)于內(nèi)幕交易的相關(guān)規(guī)定。
12.傳播合規(guī)
公司非常重視品牌傳播工作，確保傳播的內(nèi)容真實、可靠，且不侵犯任何第三方的知識產(chǎn)權(quán)。
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(zé)任和義務(wù)維護(hù)公司的形象，除非獲得公司授權(quán)，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(fā)表言論。
13.員工權(quán)益保護(hù)
公司為每位員工提供公平的工作機(jī)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(chuàng)建一種能讓每個人的個性得到充分發(fā)展的工作環(huán)境，建立健全職業(yè)健康安全體系。
14.公司治理與信息披露
公司嚴(yán)格按照公司法、證券法、上市公司治理規(guī)則等相關(guān)法律法規(guī)執(zhí)行，不斷完善公司治理結(jié)構(gòu)、提高公司治理水平，規(guī)范公司運(yùn)作，嚴(yán)格按照證監(jiān)會及證券交易所的相關(guān)規(guī)定履行信息披露義務(wù)。
15.人力資源合規(guī)
公司嚴(yán)格按照勞動法、勞動合同法等相關(guān)法律法規(guī)的要求開展工作，為公司培養(yǎng)和選拔優(yōu)秀的人才，為公司的可持續(xù)發(fā)展提供人才保障。
16.干部管理合規(guī)
公司嚴(yán)格按照干部管理的相關(guān)法律法規(guī)和要求開展工作，進(jìn)一步落實黨管干部，切實加強(qiáng)黨委對選人用人工作的領(lǐng)導(dǎo)和把關(guān)作用，高效合規(guī)開展干部選任與監(jiān)督工作，建立科學(xué)的考核評價體系，全方位落實推進(jìn)干部人才發(fā)現(xiàn)、使用、培養(yǎng)機(jī)制。
17.境外合規(guī)
公司及員工在境外開展任何經(jīng)營活動時，除應(yīng)當(dāng)遵守境內(nèi)的相關(guān)法律法規(guī)及公司的規(guī)章制度外，還應(yīng)當(dāng)遵守所在地及所適用的其他國家和地區(qū)的法律法規(guī)，并應(yīng)當(dāng)遵守有關(guān)國際條約、監(jiān)管規(guī)定、行業(yè)準(zhǔn)則、商業(yè)管理和道德規(guī)范。
18.合規(guī)咨詢與舉報
18.1 合規(guī)咨詢
法律部為全體員工提供合規(guī)咨詢服務(wù)。
合規(guī)咨詢電話：86-10-80710462
咨詢郵箱：fthgzx@foton.com.cn
18.2 合規(guī)舉報
公司設(shè)置舉報電話、信箱接收合規(guī)舉報。
公司對所收到的舉報內(nèi)容嚴(yán)格保密，并保護(hù)舉報人免受報復(fù)，對于追回公司損失的,可給予舉報人適當(dāng)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(qū)沙河鎮(zhèn)沙陽路
郵編：102206
收件人：北汽福田汽車股份有限公司法律部
