ERM Worldwide Group Limited and its affiliates. All rights reserved.

Global Code of Business Conduct and Ethics Updated 1 April 2016 original Vietnamese translation in November 2010

Quy Tc o c V ng X Trong Kinh Doanh

Mc tiu ca Quy Tc o c V ng X Trong Kinh Doanh ny (Quy Tc o c) l thit lp cc nguyn tc hot ng cho Chng Trnh Trch Nhim Cng Ty ca ERM v h tr vic tun th cc chnh sch v th tc ca ERM, Quy Tc o c ny v tt c cc lut php v quy nh p dng. Chng ti s thc hin hot ng kinh doanh ca mnh theo cc Nguyn Tc o c ca chng ti v Quy Tc o c ny.

Cc Nguyn Tc o c

Cc nguyn tc o c sau y s h tr cho cc chin lc kinh doanh ca ERM v cam kt tn trng v quan tm ca chng ti n tt c Ngi ca chng ti. Cc Nguyn Tc ny s hng dn chng ti khi cng lm vic vi cc ng nghip, khch hng v cc quan h giao dch trong hot ng kinh doanh ca chng ti:

TRCH NHIM: Mi ngi chng ti, vi t cch mt c nhn v thnh vin ca nhm, phi c trch nhim v vic duy tr thnh cng ca ERM. Trch nhim ca c nhn trong vic cung cp sn phm cht lng cho cc khch hng s em li s thnh cng cho ERM trong hin ti v tng lai.

S CNG TC: Chng ti l mt t chc ton cu. Chng ti tin tng vo cc nguyn tc cng tc v h tr ln nhau trn ton cu.

CAM KT: L mt t chc chuyn nghip, chng ti s ht sc n lc thc hin cc nguyn tc ca mnh, thc hin hon ho, v i vi cc khch hng ca chng ti. Cc lnh o ca ERM s i u trong vic thc hin, v v vy mi nhn vin ca ERM s hiu rng cc nguyn tc ca ERM v cam kt thc hin hon ho c c s ng h ca ban lnh o.

HIU SUT: cn bng gi tr hiu sut vi nhng gi tr khc ca chng ti, chng ti s duy tr v pht trin v tr ca mnh trong vai tr mt t chc t vn mi trng ca s chn la, trn phm vi ton cu.

TRAO QUYN: Chng ti s h tr cc nhn vin cc phng tin v cc kha o to gip h nhn thc y tim lc ca h vi ERM.

TNH NGUYN VN: Chng ti s p dng cc gi tr v nguyn tc o c ca chng ti trong mi hot ng v cc mi quan h ca chng ti. V danh ting v thnh cng tng lai ca ERM, chng ti s khng ngng nng cao trch nhim ca chng ti em li nhng li ch cao nht cho ERM v cc khch hng ca ERM.

ERM Worldwide Group Limited and its affiliates. All rights reserved.

Global Code of Business Conduct and Ethics Updated 1 April 2016 original Vietnamese translation in November 2010

TN TRNG: Vi vic cao gi tr ca cc c nhn, chng ti t bit quan tm n sc khe, an ton, an ton c nhn v vic khng b phn bit i x hoc quy ri ti ni lm vic. Chng ti khuyn khch s a dng trong ngun nhn lc ca chng ti v tn trng cc phong tc tp qun v cc lut php ca mi quc gia ni chng ti lm vic.

PHC V: Chng ti tin tng vo s phc v khch hng v dch v cng ng. Phc v khch hng bao gm mt cam kt hon ho kt hp vi thi ng x ly khch hng lm trng tm, i mi v mang tnh kinh doanh. Dch v cng ng bao gm vic khuyn khch ngi ca chng ti ng gp vo Qu Ti Tr ca ERM, vo cc cng ng a phng ca h v cng ng th gii.

S MINH BCH: Chng ti hiu rng vic qun tr cng ty hiu qu ca ERM i hi s chuyn ti thng tin chnh xc v kp thi, c bit thng tin chnh xc v kp thi n ban lnh o cp cao ca ERM. Mi nhn vin ca ERM ng h tnh minh bch bng vic cung cp tt c thng tin ph hp v kp thi. Chng ti ghi nhn ngay cc quan ngi m chng ti quan tm vi s lu tm ph hp v cc quyn c nhn. Hn na, chng ti khng cho php s tr a i vi cc nhn vin thng tin n ban lnh o cp cao nhng quan ngi chnh ng.

O C V NG X TRONG KINH DOANH C K VNG

1.1 Tng quan

Chng ti cam kt duy tr nhng chun mc cao v php l v o l trong ng x kinh doanh v chng ti kin quyt thc hin hot ng kinh doanh ca ERM mt cch trung thc v chnh trc. Danh ting ca ERM gn lin vi cc lut php, quy nh, v Quy Tc o c ny l quan trng hn s thng tin c nhn ca bt k nhn vin no. Chng ti s trung thc v o c trong cc ng x vi nhau, vi cc khch hng, cc bn bn v bt k cc bn th ba no khc. Chng ti hiu v tun th tt c yu cu php l i vi cc hot ng v vic kinh doanh ca chng ti. Tuy nhin, vic tun th php lut ch l mt phn nhng vic chng ti phi thc hin. Chng ti lun c gng trnh lm xut hin nhng vn khng ph hp lin quan n cc ngha v php l, nhng Nguyn Tc ca chng ti, Quy Tc o c ny, hoc nhng th tc v chnh sch ca ERM.

Nhng chun mc trong Quy Tc o c ny khng k vng p dng cho tng trng hp c th. Nu cc bn gp phi nhng tnh hung hoc nhng phm vi khng c cp c th trong Quy Tc o c ny, cc bn c ch i hnh ng nhn danh ERM theo cc Nguyn Tc ca chng ti.

1.2 S Cn Nhc Mang Tnh Ton Cu

ERM hot ng kinh doanh trn phm vi ton cu v iu c ngha rng cc d n v cc nhn vin ca chng ti phi tun th cc lut php v quy nh ca cc quc gia khc nhau.

ERM Worldwide Group Limited and its affiliates. All rights reserved.

Global Code of Business Conduct and Ethics Updated 1 April 2016 original Vietnamese translation in November 2010

V d, cc hot ng bn ngoi Hoa K vn phi tun th cc lut php nht nh no ca Hoa K, trong khi cc hot ng ca Hoa K li ph thuc vo cc lut php nht nh no ca Vng Quc Lin Hip Anh. Quy Tc o c ny thit lp nhng nguyn tc v ng x kinh doanh i vi tt c cc hot ng ca ERM, bt chp a im l ni u. Nu c nhng khc bit v phong tc tp qun, cc tiu chun, lut php hoc cc quy nh, th cc bn phi hiu cc ngha v php l ca mnh v ng x ph hp vi chun mc o c kinh doanh cao nht. Nu cc bn c cc cu hi no, ngh hy tm kim s hng dn t Ban Php L.

1.3 S a Dng

Chng ti tin rng sc mnh quan trng nht ca chng ti chnh l cc nhn vin ca chng ti. Vi cc nguyn tc Tn Trng v Hp Tc, ERM quan tm n tnh a dng v c hi ngang nhau trong mi v tr lm vic. Chng ti lun tm kim to ra mi trng lm vic ni m tt c cc nhn vin u c c hi th hin ton b tim nng ca h v ng gp cho s thnh cng ca ERM. Mc tiu ca chng ti l s a dng ca cc nhn vin phn nh s a dng ca cng ng ni chng ti thc hin kinh doanh v khuyn khch ERM tn trng cc phong tc tp qun v vn ha ca cc cng ng ni .

1.4 Khng tr a

ERM s khng tha th cho s tr a di bt k hnh thc no chng li nhng ngi nu ra cc vn v cc quan ngi mt cch trung thc. Hn na, ERM cng khng chp nhn bt k ai a ra s vin dn sai tri c cho l khng ng n. ERM s khng sa thi, ging chc, nh ch, e da, quy ry hoc phn bit i x di bt k hnh thc no i vi nhn vin theo nhng iu khon v iu kin tuyn dng cn c vo nhng hnh ng hp php ca nhn vin ny trong vic bo co gp thin ch.

C CU CHNG TRNH TRCH NHIM CNG TY

2.1 Qun L

Cc Nguyn Tc ca ERM v Quy Tc o c ny s do cc c ng ca ERM qun l. Mi nhn vin phi chu trch nhim c nhn v t cch o c ca mnh v vn bo co. Nu cc bn l mt gim st vin hoc gim c, cc bn c ngha v v chu trch nhim v t cch o c ca cc nhn vin bo co cho bn. Trong khi mi nhn vin ca ERM c trch nhim nh th, Hi ng Qun Tr y quyn cho Chuyn Vin Ph Trch ca Tp on v Chuyn Vin Ph Trch Khu Vc qun l, gii thch v thc y thc hin Quy Tc o c ny, ty thuc vo s ch o v t vn ca C Vn Php Lut Cp Cao ca Tp on.

2.2 Chuyn Vin Ph Trch Khu Vc

Mi Chuyn Vin Ph Trch Khu Vc c trch nhim thc y s nhn thc v tun th Quy Tc o c ny trong phm vi khu vc c th. Mi Chuyn Vin Ph Trch Khu Vc cng s h tr ngi Ph Trch Tp on cc bc u, bao gm Quy Tc o c v chng

ERM Worldwide Group Limited and its affiliates. All rights reserved.

Global Code of Business Conduct and Ethics Updated 1 April 2016 original Vietnamese translation in November 2010

trnh o to t cch o c kinh doanh khc. Mi Chuyn Vin Ph Trch Khu Vc c th xut nhng chnh sch lin quan n Quy Tc o c m n c th l quan trng i vi Quy Tc o c ny trong phm vi khu vc ca mnh. Khi chnh sch c th ca mt khu vc c ph chun, Chuyn Vin Ph Trch Khu Vc phi chu trch nhim vic thng tin v thc y chnh sch trong phm vi khu vc ca mnh.

2.3 Chuyn Vin Ph Trch ca Tp on

Chuyn Vin Ph Trch Ca Tp on s quy nh vic gim st Chng Trnh Trch Nhim Cng Ty ca ERM v gim st vic tun th cc th tc v chnh sch ca ERM, Quy Tc o c ny v cc lut v cc quy nh p dng. Chuyn Vin Ph Trch ca Tp on s bo co v chu s gim st ca C Vn Php Lut Cp Cao ca Tp on. Chuyn Vin Ph Trch ca Tp on s: Tin hnh nhng cuc thanh tra ni b nu cn thit; ln k hoch v sp xp o to nhn vin v cc vn t cch o c trong kinh doanh; gim st qun l cho Chng Trnh Trch Nhim Cng Ty; gii p v a ra hng dn chnh sch nhm m bo cc hot ng kinh doanh p ng c cc chun mc v yu cu ca Quy Tc o c ny. Nhng ngha v ny c th bao gm cc quyt nh v hng dn mang tnh c nhn c lin quan n nhng xung t quyn li tim n. Chuyn Vin Ph Trch ca Tp on s bo co nhng vn quan trng cho Tng Gim c, Hi ng Qun Tr v C Vn Php Lut Cp Cao ca Tp on.

2.3 o To

Mi nhn vin ca ERM s phi tham d cc kha o to o c v ng x trong kinh doanh nh k do ban lnh o quyt nh. Tt c cc lnh o, gim c v nhn vin phi hiu r cc Nguyn Tc v tun th Quy Tc o c ny.

2.4 S Khc T

Phn ln ca Quy Tc o c ny khng l thuc vo s khc t no. Tuy nhin, nhng phn c th trong Quy Tc o c ny lin quan n s xung t quyn li tim n trong cc mi quan h kinh doanh c th b khc bng mt xem xt, thng bo bng vn bn ph hp ca ban lnh o cp cao v mt khc t bng vn bn do Chuyn Vin Ph Trch ca Tp on chun b v c ph chun bi ban lnh o cp cao. Ni cch khc, ch nhng khc t chnh thc mi c hiu lc v s khng c s khc t no i vi bt k phn no ca Quy Tc o c ny, ngoi tr c c quy nh c th bi Quy Tc o c ny. Mi yu cu khc t u phi c gi bng vn bn n Chuyn Vin Ph Trch ca Tp on v bao gm mt bn miu t chi tit giao dch, s vic v tnh hung bi s khc t ny c yu cu.

3. BO CO

3.1 Trch Nhim Bo Co

Mi nhn vin ERM u c bn phn thng tin ngc dng v th ban lnh o ERM s nhn c thng bo ph hp v cc vn quan trng. Sau ban lnh o ERM c trch

ERM Worldwide Group Limited and its affiliates. All rights reserved.

Global Code of Business Conduct and Ethics Updated 1 April 2016 original Vietnamese translation in November 2010

nhim bo co n Hi ng Qun Tr ca tng cng ty ca ERM v cc vn quan trng . Cc vn Quan Trng l nhng vn : (1) nh hng n khch hng quan trng; (2) lin quan n vic iu tra, phin ta, khi t, thng bo vi phm ca chnh quyn hoc nhng tng tc khc gia ERM v cc vin chc chnh quyn c th gy nh hng bt li cho ERM; (3) c gi tr nh l mt ngha v php l khon $100.000 USD hoc hn; (4) tim n vic gy ra mt nh hng nghim trng n cc hot ng kinh doanh (mt giy php, tm ngng hot ng, mt li nhun ng k, mt nhn s ch cht, tn hi danh ting); (5) Lin quan n nhng vn nhy cm ni b nh yu sch ca nhn vin; v/hoc (6) xem xt cc qui nh, phng hng hot ng v cc ri ro/tn tht b lp li.