Moral Integrity Management

Code of Conduct

Unimicron upholds the principle of compliance and has formulated the Legal and Other Requirements Identification Procedure and the Guides to the U.S. Antitrust Law. In addition to regular inspections by the legal affairs unit, it also requires all business management units to conduct regular system review and improvement, and cooperate with the auditing operations of the audit unit to ensure full implementation of regulatory requirements.
In 2018, under strict management, there were no circumstances where Unimicron violated the regulations and suffered from heavy fines (more than NT$1 million) imposed by competent authorities. There were also no corruption and anti-competitive behaviors in 2018.

Professional Code of Ethics

Unimicron has established Integrity Regulations and the Employee Code of Ethics and Code of Conduct for all employees, and has clear stipulations on the appointment of relatives of employees and business associations. The Company upholds the principles of honesty and integrity in our customer relations. From 2012 to 2018, no relevant corruption or briberies occurred at various business units. Every year Unimicron will ensure the implementation of the mechanism through the following measures, and the relevant practices cover factories in Taiwan and Mainland China.

If employees find any integrity management violations, they may submit an anonymous report or complaint to Unimicron Audit Team or Human Resources Department by telephone or suggestion box in accordance with the provisions of Code of Integrity. The organizer shall set up an ad hoc unit to conduct an investigation. If the incident involves a director or a high- level supervisor, the organizer shall report to the Group’s independent director or supervisor. There were no integrity-related reporting cases received in 2018.

Legal Compliance

Information disclosure

In compliance with the regulations of the competent authorities, investors can access company-related information through the Market Observation Post System. In addition to disclosing Unimicron’s basic information, technology R&D, and corporate social responsibility, the Company’s website also has an investor relations section, providing relevant documents and regulations on the Company’s financial information and corporate governance. We hold Institutional Investor Seminars every quarter to explain the consolidated financial results, operational status and future prospects of each quarter. We also provide relevant information and video recordings on the Company’s website and the Market Observation Post System for the reference of investors. The company also communicates with investors through various investor meetings, overseas visits, and investor relations’ points of contact. In 2018, Unimicron participated in 3 external and self-organized Institutional Investor Seminars and participated in more than 50 institutional investor interviews and meetings.

「Market Observation Post System」
Discloses relevant information on Unimicron Technology.
「Investor Relations Section」
Provide relevant documents and regulations on the Company’s financial information and corporate governance.
「Institutional Investor Seminars」
The institutional investor seminar is held every quarter to explain the consolidated financial results, operational status, and future prospects of the quarter.
「Stakeholder Section」
Provide a dedicated feedback channel for each stakeholder to communicate and negotiate with stakeholders.

Training of Laws and Regulations

Unimicron established the Operating Procedures Regarding the Insider Trading Prohibition and Standards on Insider’s Equity Transactions of Listed Companies and arranged courses on the prevention of insider trading. In 2018, the number of employees who completed the training on the prevention of insider trading was 1986 with a completion rate of 61%. We will continue to follow up on employee training. Furthermore, Unimicron also conducts a campaign on the Code of Integrity Management. As of the end of 2018, the number of employees who have completed the integrity management training was 147. The Company also provides irregularly reminders of the relevant regulations, and has a point of contact for consultation, so that the employees subject to regulations can understand the laws and regulations and follow them accordingly. In order to strengthen the employees’ understanding of the international integrity norms, the antitrust law training has been included in the new personnel training curriculum since 2016. In 2018, the current mid and high-level personnel were re-trained in batches.

Course name Retraining requested Training participants Number of employees that should be trained Number of employees trained Training completion ratio
RBA(Note1) Those who were trained were required to be retrained due to an update in the course. Plants in Taiwan 14,499 13,367 92.2%
Professional Code of Ethics Once is sufficient All Employees 14,499 14,218 98.06%
Code of Integrity All employees shall be retrained All Employees 14,499 14,218 98.06%
Insider trading prevention(Note2) All employees shall be retrained Employees at or above grade 5, only includes staff members in Taiwan and the Taiwanese staff stationed in Mainland China 3,256 1,986 60.99%
Integrity Management Campaign All employees shall be retrained Employees at or above grade 9 311 147 47.26%
Antitrust law Every year 1.All Company supervisors at or above general manager-level in plants in Taiwan and Mainland China
2.PCB & Carrier Business / Strategy Market: Staff at or above grade 7 in Plants in Taiwan and Mainland China
152 62 40.79%
Analysis of the Law and Ethics of Trade Secrets All employees shall be retrained Employees at or above grade 5 (only staff in Taiwan and the Taiwanese staff stationed in Mainland China) 3,256 1,224 37.59%

Note1:The RBA, Professional Code of Ethics, and Code of Integrity are all added to the training course for newcomers to implement our training mechanisms and improve training rates. Some of our employees who are dispatched overseas and senior executives have not been trained. We will strengthen our promotion and urge them to complete these courses. We also provide training opportunities to our dispatched employees to improve our goal of achieving 100% training rate.

Note2:The prevention of insider trading will be added to the training course for newcomers in the future to implement our training mechanisms and improve training rates.

Note3:The low training completion ratios of the Integrity Management, the Antitrust Law, and the Analysis of the Law and Ethics of Trade Secrets are the results of difficult scheduling of training time for employees at or above grade 9 stationed domestically and abroad or the supervisors at general manager- level or above. In the future, electronic training materials shall be provided to overseas factories, and HR shall be requested to assist the coordination of the training.

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