Implementation of ethical management and insider trading prevention

1. The Company has established the “Ethical Corporate Management Best-Practice Principles” and conducted assessment on various issues including ethical practices in business meetings, and has explained to the counterparties of its policies of honesty and integrity.
2. The Company has adopted the “Program for Handling Material Inside Information” and “Procedures for Preventing Insider Trading” and made the “relevant laws and regulations and matters related to insider trading” aware to all insiders from time to time for preventing any securities trading by insiders using the undisclosed information in the market.
3. The Company has designated the President’s office as the responsible unit for the establishment of ethical corporate management policy, handling of relevant matters and supervision of implementation, as well as regular reporting to the Board of Directors.
4. Interest avoidance is set in the “Ethical Corporate Management Best-Practice Principles” and “Procedures for Ethical Management and Guidelines for Conduct” and channels for making statements are fully provided.
5. In order to ensure the implementation of ethical operations, an effective accounting system and internal control system have been established. In addition to the internal audit unit’s formulation of relevant audit plans according to the assessment results, if necessary, the CPAs will be engaged to implement relevant audits.
6. The Company has set up the “Ethical Corporate Management Best-Practice Principles” and “Procedures for Ethical Management and Guidelines for Conduct” and boosted employee awareness from time to time.
7. The Company explicitly stipulates the reporting procedures and access in the “Ethical Corporate Management Best-Practice Principles” and “Procedures for Ethical Management and Guidelines for Conduct.” Any violation or complaints can be reported to Office of the President unit via the Company’s internal e-mail. In case of a major violation or the Group is thus subject to major damage, the event should be immediately made into a report, and the board and independent directors should be notified in writing.
8. In case of unethical conduct, directly report to the supervisor concerned or the audit supervisor and adopt relevant operation procedures and subsequent measures based on the severity of the conduct in accordance with the “Ethical Corporate Management Best-Practice Principles” and “Procedures for Ethical Management and Guidelines for Conduct.” If necessary, report to the competent authorities or transfer the case to the judicial agency for investigation. The confidentiality of relevant information shall be observed.
9. The Company protects the informants from undue treatment because of the act of reporting on unethical practices.
10. The Company has set up its official website for the disclosure of related information on ethical corporate management, and has uploaded such information to MOPS as required by law. 
11. The Company invited the Taiwan Corporate Governance Association to organize and give a 3-hour lecture with respect to “Ethical management, Corporate Governance and Corporate Social Responsibility and case study” to all directors and chief officers on November 22, 2021. 

Reporting channel for frauds and unethical conducts

The Company encourages reports of unethical behaviors and misconducts by both internal and external personnel and stipulates that any personnel who receives reports shall declare in writing that the identity of whistleblowers and content shall be kept confidential, and that the Company shall promise to protect whistleblowers from being abused after their report. Whistleblowers may report frauds or unethical conducts through accessing the following channels, and provide the following information in detail in a report:

1. Name, ID number and contact information of the whistleblower.
2. Relevant information of the person being reported.
3. Physical evidences available for investigation.  

Reporting channel

E-mail: Anti_Fraud@anli-group.com
Mailing address: 8F., No. 215, Sec. 4, New Taipei Blvd., Xinzhuang Dist., New Taipei City
Anli Internatiional Co., Ltd. Vice President  

Matters to be noticed by whistleblowers

1. For any fake or false report, he or she may be legally liable.
2. For any vague reports, the accepting unit should record the case for reference instead of acceptance. If an investigation is necessary for the reported matters, it will be handled depending on the circumstances.