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商業行為準則和道德規範(CHINA DISTANCE EDUCATION HOLDINGS LIMITED)

發布時間:2015-11-20 11:33  

China Distance Education Holdings Limited and its subsidiaries and consolidated affiliated entities (collectively, the “Company”) have adopted this Code of Business Conduct and Ethics (the “Code”) as an expression of the Company’s values and to represent a framework for decision-making. The Company is committed to the highest standards of business conduct and ethics. The Company seeks to conduct its business as a good corporate citizen and to comply with all laws, rules and regulations applicable to it or the conduct of its business. The Code shall govern the relationships between the Company’s employees, including directors and officers (an “Employee” and, collectively, the “Employees”), and the Company’s customers, suppliers, shareholders, competitors, and the communities in which the Company operates.

China Distance Education Holdings Limited、其子公司及合并附屬機構(下文統稱“公司”)接納本商業行為準則和道德規範(下文簡稱“準則”)作為公司價值的體現,并為公司決策提供框架。公司一直緻力于高标準的行為準則和道德規範。公司緻力于作為良好法人開展工作并遵循所有适用于公司或公司業務行為的法律法規。準則将管理公司員工之間的關系,包括董事和工作人員(下文統稱“員工”),以及公司客戶、供應商、股東、競争者,以及公司營業地所處的社區等。

1. Application of the Code. The Code applies to each Employee and must be strictly observed. If an Employee fails to observe the Code, he or she may face disciplinary action, up to and including termination. Therefore each Employee individually is responsible to understand the Code and to act in accordance with it. The Code is not intended to cover every applicable law, rule or regulation or to provide answers to all questions that may arise. Therefore in addition to observing the Code, an Employee must use good judgment in assessing whether any given action is ethical or otherwise constitutes good business conduct. From time to time an Employee may also be required to seek guidance from others with respect to the appropriate course of conduct in a given situation. If an Employee has any questions regarding any law, rule, regulation, or principle discussed in the Code which may govern business conduct, he or she should contact a supervisor, or the Corporate Legal Department.

準則的适用範圍。本準則适用于所有員工,必須嚴格遵守。若員工違反本準則,他/她将會面臨紀律處分,直至被終止雇傭協議。因此,每一位員工都有責任理解本準則并遵照執行。本準則無意取代任何相關的适用法律、條例、規章,也不可能解決所有可能出現的問題。為此,除了本準則,員工必須在評判其任何行為是否符合職業道德或在其他方面是否構成有益的商業行為上做出正确的判斷。員工有可能随時需要就在某些特定情況下的行為是否恰當向别人尋求幫助。若員工在與管理商業行為有關的法律、條例、法規或本準則中讨論的原則等存在疑問,他/她應與主管或公司法務部門交涉。

2. Code Does Not Constitute an Employment Contract. The Code does not in any way constitute an employment contract or an assurance of continued employment. It is for the sole and exclusive benefit of the Company and may not be used or relied upon by any other party. The Company may modify or repeal the provisions of the Code or adopt a new Code at any time it deems appropriate, with or without notice to its Employees.

本準則不構成雇傭合同。本準則不以任何方式構成雇傭合同或保證繼續雇傭關系。本準則僅僅是為了公司的利益,不應被其他各方利用或依賴。公司可在任何其認為合适的時候修改或撤銷本準則的條款,或采納新的準則,這既可以通知員工也可以不通知員工。

3. Conflicts of Interest.

利益沖突。

3.1 Conflicts of Interest Prohibited. The Company’s policy is to prohibit conflicts of interest. A conflict of interest occurs when an Employee’s personal interest interferes, or appears to interfere, with the interests of the Company in any way. Conflicts of interest may only be waived by the Company’s Board of Directors (the “Board”), and will be promptly disclosed to the public to the extent required by law or applicable stock exchange requirements.

禁止利益沖突。公司的原則是禁止利益沖突。利益沖突發生是因為員工的個人利益以任何方式幹擾或可能幹擾公司利益。利益沖突僅可由公司董事會(下文簡稱“董事會”)豁免,并須及時按照法律或适用的股票交易所的要求予以披露。

3.2 Identifying Conflicts of Interest. A conflict of interest can arise when an Employee or a member of his or her family takes actions or has interests that may make it difficult to perform his or her Company work objectively and effectively. Conflicts of interest can also arise when an Employee or a member of his or her family receives improper personal benefits as a result of the Employee’s position in the Company. Such conflicts of interest can undermine an Employee’s business judgment and responsibility to the Company and threaten the Company’s business and reputation. Accordingly, an Employee should avoid all apparent, potential, and actual conflicts of interest. Further, an Employee must communicate to the Corporate Legal Department all potential and actual conflicts of interest or material transactions or relationships that reasonably could be expected to give rise to a conflict of interest or the appearance of such a conflict of interest. The following activities all generally constitute a conflict of interest:

确認利益沖突。當員工或其家人采取的行動或擁有的利益給員工客觀、高效地開展公司工作造成困難時會産生利益沖突。同時,員工或其家人因為員工在公司的地位獲得不正當的利益時也會産生利益沖突。這些利益沖突可能會影響員工的商業判斷和對公司的責任感,并威脅到公司的業務和聲譽。因此,員工應避免任何顯性的、隐性的、實質的利益沖突。此外,員工就任何潛在的或實質的利益沖突、重大交易、被合理預期可能會引起利益沖突的關系、利益沖突的形式等與公司法務部門進行溝通。下列行為一般都會構成利益沖突:

3.2.1 Corporate Opportunities. An Employee taking opportunities for his or her own benefit that are discovered through the use of the Company’s information, property or position; or an Employee using the Company’s information, property or position for his or her own personal gain or to compete with the Company.

企業機會。任何員工利用企業機會,通過使用公司信息、财産或職位試圖謀取個人利益;或任何員工利用公司信息、财産或職位謀取個人利益或與公司進行競争。

3.2.2 Loans. The granting by the Company of any loans or guaranties for an Employee or for the Employee’s family members. Such activity will not be allowed without the prior written approval of the Corporate Legal Department, and if appropriate, the Board or a committee thereof. The Company will not extend, maintain or arrange for any personal loan to or for any director or executive officer (or the equivalent thereof).

貸款。公司為員工個人或家庭成員提供的任何貸款或擔保。這些行為在沒有得到公司法務部門,若适用,董事會或董事會下設委員會的書面批準前是不被許可的。公司不會給予、支持或安排從或給任何董事或管理人員(或同等職位的個人)的任何個人貸款。

3.2.3 Outside Activity. An Employee engaging in any outside activity that materially detracts from or interferes with the performance by an Employee of his or her services to the Company.

外部活動。任何員工從事的任何會對員工在公司的業績表現産生重大影響的外部活動。

3.2.4 Outside Employment. An Employee serving as a director, representative, employee, partner, consultant or agent of, or providing services to, a company that is a supplier, customer or competitor of the Company.

公司外供職。擔任供應商、客戶或競争對手的董事、代表、員工、合作夥伴、顧問或代理,或為其提供服務。

3.2.5 Personal Interest. An Employee having any personal interest, whether directly or indirectly, in a transaction involving the Company.

個人利益。直接或間接與公司某項業務相關的員工的個人利益。

3.2.6 Personal Investments. An Employee owning, directly or indirectly, a material amount of stock in, being a creditor of, or having another financial interest in a supplier, customer or competitor.

個人投資。員工直接或間接擁有供應商、客戶或競争對手的大量股票、作為債權人或有其他财務利益。

3.3 Reporting. Each Employee must report conflicts of interest to a superior who they believe is not involved in the matter giving rise to the conflict. Any Employee who has questions as to whether a conflict of interest exists after consulting the Code should contact the Corporate Legal Department for assistance in making that determination.

報告。任何員工必須向他認為不會與産生這種利益沖突相關的事情有關的主管彙報利益沖突。員工就是否存在利益沖突在參考了本準則之後依然有疑問的應與企業法務顧問聯系,尋求支持并落實決定。

4. Gifts and Entertainment.

禮物和娛樂。

4.1 General Policy. The Company recognizes that the giving and receiving of gifts and entertainment is common business practice. However, gifts and entertainment should never compromise, or appear to compromise, an Employee’s ability to make objective and fair business decisions. The Company’s policy is that an Employee may give or receive gifts or entertainment to or from customers and suppliers only if the gift or entertainment could not be viewed as an inducement to any particular business decision.

一般原則。公司認為收受禮物和參加娛樂活動都是一般商業行為。但是,禮物不應損害或可能損害員工做出客觀公正的商業決定的能力。公司的原則是員工隻有在該禮物或娛樂活動不被視為是作出特殊商業決定的誘因的前提下,可以從或向客戶或供應商收受禮物或參加娛樂活動。

4.2 Giving Gifts and Entertainment. An Employee must obtain written permission from the head of his or her department before giving any gifts or entertainment on behalf of the Company. Furthermore, the Employee must ensure that the expense for such gifts or entertainment is properly recorded on the Company’s expense reports.

贈送禮物或娛樂活動。員工在代表公司贈送任何禮物或娛樂活動之前必須取得部門領導的書面批準。此外,員工必須确保該禮物和娛樂活動的支出完全記錄進公司支出報告中。

4.3 Reporting Gifts. An Employee must only accept appropriate gifts from customers or suppliers. The Company encourages Employees to submit each such gift he or she receives. However, an Employee must submit to his or her department any gift the objective market value of which exceeds RMB200.

禮物報告。員工必須隻能接受客戶或供貨商适當的禮物。公司鼓勵員工上交所接受的所有禮物。但是,員工必須将其接受的市價超過200元人民币的禮物上交給所在的部門。

4.4 Bribes, Kickbacks and Secret Commissions Prohibited. The