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Business Conduct and Ethics

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ASE believes that corproate sustainable development is vital to ASE’s long-term strategies and success. To help ASE practice good corporate citizenship and social responsibility in enterprise operation, ASE has formulated Code of Business Conduct and Ethics. Standards of business conduct and ethics are prescribed clearly and thoroughly in aforementioned policies and specifications, with the aim of fostering a culture of honesty and accountability and realizing ASE’s commitment to the highest level of ethical conduct in all ASE’s business activities.

As the highest governance body of ASE’s business conduct and ethics, Corporate Sustainability Committee (the “CSC”) coordinates and supervises the establishment and implementation of the ethical corporate management policies and specifications. The CSC periodically reviews the promotion of business conduct and ethics and the compliance of policies and specifications, and reports to the board of directors. The Corporate Governance Taskforce under the CSC promotes ethical policies and specifications to our global manufacturing sites and assits in managing and adopting appropriate policies and specifications to ensure ethical management in compliance with the requirements of local laws and regulations. Global manufacturing sites are responsible for planning the internal organization, structure, and allocation of responsibilities, formulating standard operating procedures and conduct guidelines in accordance with corporate policies and specifications, and promoting awareness and educational activities with respect to ethics policy in internal management and in daily operation. The Group Internal Audit is in charge of supervision to ensure the operating effectiveness of reporting system.

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All ASE’s members shall comply with all provisions of business conduct and ethics policies and specifications. ASE’s members and any third party may use the following channels to report any violation, suspected violation or any conduct that could result in a violation of ethical management or commercial ethics:

External Channel for Reporting

Internal Channel for Reporting

  1. General Manager Mailbox
  2. Human Resource Mailbox
  3. Employee Appeal Hotline
  4. Sexual Harassment Prevention Hotline
  5. Code of Conduct Compliance Reporting System

Upon receipt of the report, ASE will investigate and handle the report according to the aforementioned policies and principles.

A whistleblower shall report, either with name or anonymously, a violation by providing specific facts, related information and documents available for investigation. Unless otherwise provided by laws, ASE and the third parties appointed by ASE to assist in the investigation will keep confidential the identity and privacy of a whistleblower and/or the content of his/her report to the fullest extent permitted by law so as to protect him/her from any unfair retaliation or treatment.

2021 Programs and Implementation

ASEH strives to implement policies and specifications related to business conduct and ethics through various ways such as policies and specifications establishment and educational training. The projects promoted and implemented in 2021 are as follows:

  • Education and training, advocacy and communication
    1. At the meeting of the Board of Directors in July 2021, the Corporate Governance Officer reported to the Board the implementation status and plans pertaining to the company’s ethical management. The company also sends an e-mail before the blackout period to communicate and remind all directors of any laws and regulations that are relevant to insider trading.
    2. The company sent policies and documents relating to ethical management to its global business locations, and requested the human resources manager of global business locations to sign an acknowledgment letter on behalf of our global workforce. We also continued to investigate the current status and practices of ethical management at our global business locations.
    3. The company has promoted its business code of conduct and ethical compliance reporting mechanism on the group’s audit management system platform, which is shared with our global business locations. The purpose is to help employees understand when and where to file a report or complaint. We also conduct in-person and online meetings with executives and employees at our business locations worldwide to inform them on the rules and procedures for handling reports of unethical conducts. We encourage employees to be proactive in reporting unethical behaviours to implement the company’s whistleblowing system and strengthen mechanisms for the detection and prevention of fraudulent activities.
    4. ASEH’s business locations around the globe have conducted business practices and ethics-related training to all employees through in-person, online and e-mail communication, as well as announcement and dynamic advocacy to conduct, with the topics covered including ethical management, anti-corruption, trade secret, avoidance insider trading, fair competition and antitrust, respect intellectual property, regulatory compliance, information security, RBA Code of Conduct, and employee code of conduct at all business locations (131,066 participants clocked a total of 76,561 hours on the course). In total, 16,174 employees attended the courses related to the company’s Administrative and Practice Procedures to Prevent Insider Trading and on applicable laws and regulations, completing 5,234 hours.
  • Risk assessment: All of our sites around the world have conducted business ethics risk assessment, in which no major business ethics risks have been identified.