文稿案例成果hls codeof ethicsv

1、HLS Systemsernational.Code of Conduct and PolicyRegarding Reporting ofsible ViolationsHLS Systemsernational. (the “Company”) is committed to being a good corporatecitizen. The Companys policy is to conduct its business airs honestly and in anethical manner. This Code of Conduct (“Code”) provides a g

2、eneral sement of theexpecions of the Company regarding the ethical standardst each director, officerand employee should adhere to while acting on behalf of the Company. It does notcover every iet may arise, but it sets out basic principles to guide all employees,officers and directors of the Company

3、. All of our employees, officers and directors must conduct themselves accordingly and seek to avoid even the appearance of improper behavior. This Code of Conduct apps to all officers, full and part time employees,contract workers, directors and anyho conducts business with the Company.Conduct in v

4、iolation of this policy is unacceptablehe workplace and in any work-related setting outside the workplace. Any employee or contract worker who violates this Code will be subject to disciplinary action, up to and including termination of his/her employment or engagement.Compliance with LawsYou must c

5、omply will federal, se and local laws applicable to your activities onbehalf of the Company and shall perform your duties to the Company in an honest andethical manner. If a laws wipolicyhis Code, you must comply with the s with this Code, you must comply withlaw; however, if a local custom or polic

6、ythe Code. If you have any questions about theses, you should ask yoursupervisor or teral Counsels office how to handle the situation.s oferestYou should avoid situations in which youral, family or finanlerestserests. You al andor even appear towith those of the Company or compromise itsshould handl

7、e all actual or apparents oferest betn yourprofesal relationships in an honest and ethical manner.s are not alwaysclear-cut. Exles of actual or potentials oferest are set forth on AppendixA. A “ with theoferest” exists when erests of the Company. Arsons privateeresterferes in any waysituation can ar

8、ise when an employee,officer or director takeion or haserestst may make it difficult to perform his orher Company work objectively and effectively.s oferest may also arise whenan employee, officer or director, or a member of his or her family, receives improperal benefits as a result of his or hosit

9、ionhe Company. Loans to, orguarantees of obligations of, employees and their family members may createsoferest.It is almost always aoferest for a Company employee to work simultaneouslyr. You are not allowed to work for a competitor asfor a competitor, customer ora consultant or board member. The be

10、st policy is to avoid any direct or indirectbusiness connection with our customers,rs or competitors, except on theCompanys behalf. In addition, employees, officers and directors are prohibited fromtaking for themselvesally any opportunitiest are discovered through the useof corporate property, info

11、rmation orition, except with the consent of thofDirectors. Employees, officers and directors owe a duty to the Company to advance itslegitimateerests when the opportunity to do so arises. If youe aware of aor potentialoferest, contact your own or any other Companysupervisor for further guidance.Disc

12、losureIt is of paramount importance to the Companyt all disclosure ins filed by ublicthe Company with the Securities and Exchange Commisor in othcommunications by the Company is full, fair, accurate, timely and understandable. Allofficers, directors, employees and contract workers must take all step

13、s ne assist the Company in fulfilling these responsibilities, consistent with eachsary tos rolehe Company. You should give prompt, accurate answers to all inquiries inconnection with the Companys preparation of public disclosures and reports.Code of Ethics for Senior OfficersThe Companys Chief Execu

14、tive Officer, the Chief Finanl Officer and the Controller(the “Senior Officers”) each bear a spel responsibility for promotingegritythroughout the Company. Furthermore, the Senior Officers have a responsibility tofoster a culture throughout the Company as a wholet ensures the fair and timelyreportin

15、g of the Companys results of operation and finanl condition and otherfinanl information.Because of this spel role, the Senior Officers are bound by the following SeniorOfficer Code of Ethics, and each agreest he or she will:Perform his or her duties in an honest and ethical manner.Handle all actual

16、or apparents oferest betn his or hersonal andprofesal relationships in an ethical manner.Take all nesary actions to ensure full, fair, accurate, timely, and understandabledisclosure in reports andst the Company files with, or submits to,ernment agencies and in othublic communications.Company wi ernm

17、ents.ll applicable laws, rules and regulations of federal, se and localProactively promote and be an exle of ethical behaviorhe work environment.Reporting and ComplianceIf youe aware of conduct by an officer, director, employee or contract workerwhich you beve in good faith is a potential violation

18、of this Code of Conduct, youshould notify your own or any other Company supervisor, the Chief Executive Officer,teral Counsel or the Chief Finanl Officer as soon assible. You shouldalso report any complaor concern regarding the Companys accounting,ernalaccounting controls, or auditing matters, or an

19、y concerns regarding questionable accounting or auditing matters. Supervisors are required to refer all reports ofsibleviolations to the Chief Executive Officer, t Officer or the Chair of the Audit Committee.eral Counsel, the Chief FinanlAlternatively, if you wish to report su description of the con

20、cern or complaatters anonymously, you may to the attention of either taeral Counsel,the Chief Finanl Officer or the Chair of the Audit Committee, at the following address:625 Broadway, Suite 1111 San Diego, CA 92101s outside the Company may also report complas or concerns the Companynel; suatters sh

21、ould be reported promptly on receipt to your own or anyother Company supervisor, the Chief Executive Officer, teral Counsel, the ChiefFinanl Officer, or the Audit Committee Chair. Supervisors are required to report suchmatters as noted above.All reports of complas or concerns shall be recorded in a

22、log, indicating thedescription of the matter reported, the date of the report and a brief summary of thedisition. The log shall be maained by teral Counsel and shall be reviewedperiodically with the Audit Committee. This log shall be retained for five years.Allegations of violations of the Code shou

23、ld be made only in good faind not toed orembarrass or put someone in a false light. If youe aware of apotential violation dont try to investigate or resolve it on your own. Prompt disclosure under this Code is vital to ensuring a timely and thorough investigation and resolution.You are expected to c

24、ooperate in of the Code.ernal or external investigations or alleged violationsIn response to every report made in good faith of conduct potentially in violation of theCode of Conduct, the Company wildertake an effective and thorough investigation,and if improper conduct is found, the Company will ta

25、ke appropriate disciplinary andremedial action. Compliance procedures are set forth in Appendix B to this Code. TheCompany will attempt to kets discuss winyreporting a violationto the extent reasonablysible withoompromising the effectiveness ofthe investigation. If you beve your report is not proper

26、ly explained or resolved, youmay take your concern or complato the Audit Committee of thof Directors.Employees and contract workers are protected by law from retaliation for reporting sible violations of this Code of Conduct or for participating in procedures connectedwin investigation, proceeding o

27、r hearing conducted by the Company or aernment agency with respect to such complas. The Company will takedisciplinary action up to and including the immediate termination of any employee or contract worker who retaliates against another employee or contract worker for reporting any of these alleged

28、activities.Further InformationPlease contact the Chief Executive Officer, teral Counsel or the Chief FinanlOfficer if you have any questions about this Code or require further information.The most current verof this Code will beted on the Companys website andfiled as an exhibit to the Companys Annua

29、l Report on Form 10-K. Any substantiveamendment or waiver of this Code may be made only by thof Directors upon amendation of the Audit Committee, and will be disclosed, including the reasonsfor such action, on the Companys website and by a filing with the Securities andExchange Commison Form 8-K wit

30、hin four days of such action. The Company willmaain disclosure about such amendment or waiver on the website foreast twelvemonths and shall retahe disclosure concerning the action foreast 5 years.商業(yè)行為和道德準則和利時公司一直致力于成為良好的企業(yè)公民，公司的經(jīng)營原則是，在業(yè)務(wù)開展過程中要以務(wù)實、誠實和道德的方式進行。本準則提供了所期望的關(guān)于道德標準的一般性聲明，是所有雇員、高級職員和董事都應(yīng)遵守的工

31、作行為規(guī)范。它不包括每一個可能發(fā)生的具體問題，但它提出了基本原則，指導所有雇員、高級職員和公司董事。所有的雇員、高級職員和公司董事必須對照商業(yè)行為和道德準則的標準工作，避免錯誤的或不正當行為的出現(xiàn)。該行為道德準則適用于所有，包括全日制、半日制員工、合同工、董事及任何參與公司業(yè)務(wù)往來的。無論在工作場所或在工作場所之外從事與公司業(yè)務(wù)相關(guān)的活動，任何員工本準則將按照獎懲制度規(guī)定受到處分，直至包括終止其與公司的勞動關(guān)系。遵律所有員工必須遵守所有、州和地方的法律，同時在日常的工作中，員工要代表公司以誠實和道德的方式履行職責。如果一項法律與公司的行業(yè)準則相，您必須遵律；但是如果一個地方政策或與公司的行業(yè)準

32、則相，您必須遵守該行為道德準則。如果您對這些有任何疑問，您應(yīng)該向直接主管或地方法律如何處理類似情況。利益每個員工都應(yīng)該努力避免個人或家庭的經(jīng)濟利益與公司利益發(fā)生，甚至出現(xiàn)損害公司利益的行為。員工應(yīng)該以誠實和道德的方式平衡處理工作中所有實際的或潛在的利益。并不總是非常明確的，實際或潛在的利益規(guī)定具體見附錄 A“利益沖突”。當個人的利益無論以何種方式干擾了公司的利益目標，或與公司利益發(fā)生時，這可能造成公司雇員，高級職員或公司董事們難以采取客觀、有效的行動去履行他的工作職責。當雇員、高級職員、董事或他們的家庭成員利用其工作職務(wù)之便，獲取不正當?shù)膫€人利益，以及發(fā)生、擔保和投資等行為時也會造成與公司之間

33、的利益。如果公司的員工同時為競爭對手、客戶或供應(yīng)商工作，肯定會與公司發(fā)生利益，同樣員工也不能成為競爭對手的顧問或董事會成員。最好的原則是避免與的客戶、供應(yīng)商或競爭對手發(fā)生直接的或間接的商業(yè)聯(lián)系，除非是為了履行公司的職責。此外除非征得董事會的同意，雇員、管理和董事不得利用任何機會占用公司的、文件或名稱，雇員、管理和董事有責任在資源和條件具備時，增進公司的合法收益。如果員工實際的或潛在的利益，請聯(lián)系直接主管以尋求進一步的指導。披露的是本披露的文件，包括對交易或其他公共信息通報均是全面，公平，準確，及時和可以理解的。所有管理，董事，雇員和合同制員工，必須采取一切必要步驟，協(xié)助公司履行這些職責。您應(yīng)該

34、迅速、準確的回答所有問題，及公司編制的公眾披露和。（這個全員能過？公司的公眾披露和報告會同時告知全員嗎？）高級管理的道德準則公司的首席執(zhí)行官，財務(wù)總監(jiān)和高級管理（以下簡稱“高級” ） ，每個人均負有特殊的責任，以促進整個公司的完整性。此外，高級也有責任培育公司的文化，確保公司做為運營主體，能夠公平和及告公司的經(jīng)營成果、財務(wù)狀況、及其他的財務(wù)資料。由于這一特殊的職責，高級管理受以下高級道德準則的約束，每個人均同意遵守：以誠實和道德的方式履行其職責。以道德的方式處理所有現(xiàn)實的或潛在的個人與職務(wù)之間的利益。采取一切必要行動，確保全面、公正、準確、及時地向機構(gòu)和其它公共信息部門披露公司的和文件。公司的

35、運營符合所有、州和地方適用的和規(guī)章制度。積極建立和推動一個符合道德規(guī)范良好的工作環(huán)境。和遵守如果員工發(fā)現(xiàn)董事，雇員或合同工確實存在本行為道德準則的行為，員工應(yīng)該盡快公司的直接主管，首席執(zhí)行官，法律顧客或財務(wù)總監(jiān)。員工也應(yīng)該任何涉及到公司的會計、會計控制或?qū)徲嬍马椀纳暝V，或任何值得關(guān)注可疑的會計或?qū)徲嬍马?。監(jiān)督員（從文中理解好像是，需要設(shè)置監(jiān)督員，如果是必須得要體現(xiàn)在職位中嗎，應(yīng)該可以吧）被要求提交相關(guān)存在行為的給首席執(zhí)行官、法律顧問、財務(wù)總監(jiān)和審計的?；蛘邌T工可以通過郵寄訴。公司地址相關(guān)事項，向法律顧問、財務(wù)總監(jiān)或?qū)徲嬤M行投百老匯大街 625 號，1111 房間，加州圣迭戈 92101。（面向

36、員工發(fā)布，地址需要調(diào)整為現(xiàn)在地址，是否可以）公司以外的也可以或涉及公司行為道德準則等事項，應(yīng)當報至公司的主管、行政總監(jiān)、法律顧問、財務(wù)總監(jiān)或?qū)徲?。監(jiān)督員也需要如上所述進行。所有或問題，應(yīng)在一個文檔中，包括現(xiàn)象、日期和簡要處理結(jié)檔由法律顧問保管，并應(yīng)定期由審計進行審計。文檔應(yīng)保存五年以上。判斷行為道德準則的根源在于誠信，而不是假想或錯誤的推斷。如果員工知道一個可疑的或潛在的不要試圖或自己解決處理。及時披露本準則是的，以確保及時、徹底的和解決。員工將與或外部的機構(gòu)合作或指控該行為道德準則。針對每一份中可能存在了行為道德準則，公司將進行詳盡、有效和徹底的，如果發(fā)現(xiàn)確有不當行為，公司將進行適當?shù)募o律處

37、分，并采用補救措施。具體遵守本行為道德準則附錄 B 的程序規(guī)定。在不原則及效率的情況下，公司將會努力保持與人的溝通和。如果員工認為他本人的沒有被正確的解釋或解決，他可能需要重新關(guān)注并向董事會的審計進行。雇員和合同工在潛在的本行為準責或參與程序過程中是受法律保護的，公司或機構(gòu)等方面的聽證會將會特別關(guān)注這些。公司將嚴懲進行或參與舉證指控的，直至立即終止其與公司的勞動關(guān)系信息如果您對本準則有任何疑問或需要了解更具體的信息，請聯(lián)系公司首席執(zhí)行官，法律顧問或財務(wù)總監(jiān)。版本的行為道德準則已在公司上，并歸檔在公司年報的 10-K 中。對本商業(yè)行業(yè)準則任何實質(zhì)性的修改或刪減只能在得到了董事會的一致建議，并經(jīng)審

38、計通會，才會在公司上正式披露，內(nèi)容包括進行修正的原因，并在 4 天內(nèi)以 8K 格式正式提交給交易。公司將繼續(xù)保持披露此種修正或刪減在上至少十二個月，并應(yīng)保留披露有關(guān)至少 5 年。Appendix AThe following are exles of actual or potentials:you, or a member of your family, receive impropersonal benefits as a result ofyouritionhe Company;you use Companys property for youral benefit;you engage

39、 in activitiesterfere with your loyalty to the Company or your abilityto perform Company duties or responsibilities effectively;you, or a member of your family, have a finanlerest in a customer,r, orcompetitor which is significant enough to cause divided loyalty with the Company orthe appearance of

40、divided loyalty (the significance of a finan many factors, such as size of investment in relation to yourlerest depends one, net wornd/orfinanl needs, your potential to influence decist could impact yourerests,and the nature of the business or level of competition bet r, customer or competitor);n th

41、e Company and theyou, or a member of your family, acquire anerest in property (such as real ese,patent or otherellectual property rights or securities) in which you have reason toknow the Company has, or mighve, a legitimateerest;you, or a member of your family, receive a loan or a guarantee of a lo

42、an from acustomer,r or competitor (othern a loan from a finanl institution madehe ordinary course of business and on an arms-length basis);you divulge or use the Companys customer information, or computinformation such as finanl data,rograms for your ownal or businesspures;you make gifts or payments

43、, or provide spel favors, to customers,rs orcompetitors (or their immediate family members) wivalue significant enough tocause the customer,r or competitor to make a purchase, or take or foregoother action, which is benefil to the Company and which the customer,r orcompetitor would not otherwise hav

44、e taken; oryou are given the right to buy stock in other companies or you receive cash or other payments in return for promoting the serviof an advisor, such as an investmentber, to the Company.附錄 A下面舉例說明實際或潛在的利益：您或您的家庭成員，由于您在公司的職位接受不正當?shù)膫€人利益；您為個人利益使用公司的;您從事的活動，干擾您的忠誠度，或者影響您有效地履行職責的能力；您或您的家庭成員，如果與客戶、

45、供應(yīng)商或競爭對手存在經(jīng)濟利您對公司的忠誠度或者造成忠誠度的偏離（財務(wù)利益取決于很多系，是絕對會影響，如相對收入的投資規(guī)模、凈資產(chǎn)和財務(wù)需求，您潛在的一些決定將會影響公司的利益，商業(yè)性質(zhì)，改變供應(yīng)商、客戶或競爭對手的經(jīng)營狀況。）您或您的家庭成員，獲取利益同時（如房地產(chǎn)、專利、其他知識或有價證券），您應(yīng)該知道其中哪些是應(yīng)由公司持有的合法權(quán)益;您或您的家庭成員，接受客戶、供應(yīng)商或競爭對手的或擔保（除非營程序并來源于金融機構(gòu)）;符合正常經(jīng)您或使用企業(yè)的信息-如財務(wù)數(shù)據(jù)，或計算機程序-為謀取個人或商業(yè)目的;您以禮品或現(xiàn)金，或提供特別等方式給客戶，供應(yīng)商或競爭對手（或其直系親屬）引起客戶、供應(yīng)商或競爭對手

46、進行、放棄、或采取其他行動，如不采取這些方式，客戶、供應(yīng)商或競爭對手本來不會予以考慮的，從而給公司帶來商業(yè)利益的行為。您通過給公司或投資其它款項等行為。擔任顧問的方式，換取其權(quán)或其它公司的現(xiàn)金或您以顧問的方式為投資行為?；蚱渌痉?wù)，換取其、現(xiàn)金及其他款項等Appendix BCompliance ProceduresCompliance Officer. The Corporate Compliance Officer is teral Counsel, orhe absence of such, the Chief Finanl Officer. The Compliance Offic

47、ersresponsibility is to ensure communication, training, monitoring, and overallcompliance with the Code. The Compliance Officer will, with the assistance and cooperation of the Companys officers, directors and managers, foster an atmosphere where employees are comfortable in communicating and report

48、ingconcerns andsible Code violations.Acs to the Code. The Company shall ensuret employees, officers anddirectors may acs the Code on the Companys website. New employees willreceive a copy of the Code as part of their new hire information.Monitoring. Managers are the “go to”s for employee questions a

49、nd concernsrelating to the Code. Managers or supervisors will immediay report any violationsor allegations of violations to the Compliance Officer. Managers will work with theCompliance Officer in assessing areas of concern, potential violations, any needs for enhancement of the Code or remedial act

50、ions to effect the Codes policies and overall compliance with the Code and other related policies.ernal Investigation. Whenleged violation of the Code is reported, theCompany shall take prompt and appropriate action in accordance with the law andregulations and otherwise consistent with good busines

51、s practice. If theedviolation appears to involve either asible violation of law or an ie of significantcorporateerest, or if the report involves a complaor concern of anyregarding the,whether employee, a stockholder or othererestedCompanys finanl disclosure,ernal accounting controls, questionable au

52、ditingor accounting matters or practior other ies relating to the Companysaccounting or auditing, then the manager or investigator should immediay notifythe Compliance Officer, who,urn, shall notify the Chair of the Audit Committee. Ifaed violation involves any director or executive officer or if th

53、eedviolation concerns any fraud, whether or not material, involving management orother employees who have a significant rolehe Companysernal controls, anywho received such report should immediay report the alleged violation tothe Compliance Officer and, in every such case, the Chair of the Audit Com

54、mittee. The Compliance Officer or the Chair of the Audit Committee, as applicable, shall assess the situation and determine the appropriate course of action, including the conduct of an investigation, as appropriate.Disciplinary Actions. Subject to the following sentence, the Compliance Officer, aft

55、erconsulion with the Viceof Human Resour, shall be responsible forimplementing the appropriate disciplinary action in accordance with the Companys policies and procedures for any employee who is found to have violated the Code. Ifa violation has been reported to the Audit Committee or another commit

56、tee of the Board,t Committee shall be responsible for determining appropriate disciplinary action. Any violation of applicable law or any deviation from the standards embodiedhis Code will result in disciplinary action, up to and including termination ofemployment. In addition to iming discipline up

57、on employees involved in-pliant conduct, the Company also will ime discipline, as appropriate, upon anemployeepervisor, if any, who directs or approvech employees improperactions, or is aware of those actions but does not act appropriay to correct them,and upon other individuals who fail to report k

58、nownpliant conduct. Inaddition to iming its own discipline, the Company will bring any violations of lawto the attention of appropriaaw enforcementnel.Retention of Reports and Complas. All reports and complas made to orreceived by the Compliance Officer or the Chair of the Audit Committee relating toviolations of this Code shall be loggedo a record maained for this pure bythe Compliance Officer and this record of such report shall be retained for five years.Required to theernment Reporting. Whenever conduct occurst requires a reporternment, the Complian