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《高級經理人商業行爲規範》

中国五矿力推《高級經理人商業行爲規範》
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2016-02-16
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近日,中國五礦集團公司发布《高級經理人商業行爲規範》(下称《商業行爲規範》),成爲首批規範高級經理人商業行爲和展示良好公衆形象的中央企業。

中国五矿董事长何文波指出,《商業行爲規範》是国际化企业集团必备的基本制度之一。中国五矿要实现成为世界一流的金属矿产企业集团的战略愿景,就应该打造一支全球化的 傳承五礦價值願景的、忠誠擔當的、勤勉敬業的、務實高效的、開拓進取的經理人隊伍。五礦的優勢在人,五礦的問題在人,五礦的希望也在人。我們有了一群滿懷理想的、心無旁骛的、執著追求的、有激情有幹勁的人,才會有世界一流、受人尊重的偉大公司,才能完成中國金屬礦産領域資源安全的保障者、産業升級的創新者、流通轉型的驅動者的光榮使命。

中国五矿《商業行爲規範》适用于各层级的承担经营管理责任的人员,包括外籍高级经理人,而不仅仅是集团公司的党员领导干部,《商業行爲規範》参照国际典范,从职业操守、从业道德、工作准则、信息披露、利益规避等方面对高级经理人的商业行为进行了较为系统的规定,今后将在中国五矿官方网站上公开发布,接受外部公众的广泛监督,对外传递中国五矿阳光合规的企业经营理念;而《商業行爲承諾書》进一步对高级经理人提出了持续学习、知识共享、创新进取、群策群力、协作共赢等方面的更高要求,将在高级经理人任职、外派时,与其聘用合同、劳动合同、派遣协议一并签署。二者有机结合,内外统一,易于执行。

《商業行爲規範》的发布会当日,中国五矿有228位高级经理人现场签署了《商業行爲承諾書》。中国五矿希望《商業行爲規範》在塑造优秀的五矿经理人,塑造优秀的五矿人方面发挥积极的作用,能够引领推动高级经理人通晓国际商业伦理,重塑核心价值观,勤勉尽责,展现良好职业风范。

 

 

 

                               

 

 

中國五礦集團公司

高級經理人商業行爲規範

 

China Minmetals Corporation

Code of Business Conduct for Senior Managers

 

  

 

人力資源部

二〇一六年一月

 

Human Resources Department

January 2016


董事長寄語

《高級經理人商業行爲規範》是国际化企业集团必备的基本制度之一。集团公司要实现成为世界一流的金属矿产企业集团的战略愿景,就应该打造一支全球化的、跨国籍身份的、“傳承五礦價值願景的、忠誠擔當的、勤勉敬業的、務實高效的、開拓進取的”经理人队伍,既要求中共党员经理人、国企领导人在严格贯彻执行《中国共产党廉洁自律准则》、国有企业领导人员廉洁从业若干规定》等制度条例的基础上实现“个人干净”,更要求所有经理人在履行我们的商业行为规范的基础上展现主人翁意识和企业家精神,确保公司经营处于自觉可控、有序运营、持续发展的状态之中,为股东、客户、员工、社区创造更大的价值。可以说,制定《高級經理人商業行爲規範》有利于全球化商业运营环境下集团公司高级经理人的履职行为的有章可循、统一规范,有利于展示集团公司的良好公众形象和接受公众监督,有利于实现“大五矿、大人才”的人才素质提升战略。

希望中國五礦的每一位高級經理人,無論你在地球的哪一端,無論你擁有哪一種膚色,無論你在哪一層級的經理人崗位,請銘記本規範的要求和你的承諾,請展現你忠于職守、勤勉盡責的職業風範。

            

 中國五礦集團公司党组书记、董事长


 

中國五礦集團公司高级经理人

商業行爲規範(試行稿)

 

中國五礦集團公司(以下简称“集团公司”)为规范公司高级经理人的商业行为与道德操守,维护公司利益,根据中国法律、公司上市地监管要求和公司章程,制定本规范。

一、本規範所稱的高級經理人是指在集團公司及直屬單位(含集團公司各職能部門,各業務中心、直管單位,以下簡稱“公司”)任職的承擔經營管理責任的人員及所屬企業相關負責人。集團公司各業務中心和直管單位所屬各級企業的高級經營管理人員由本單位按照分級管理原則界定並參照本規範組織執行。

二、高級經理人必須遵守的商業行爲與道德操守

(一)對公司履行誠信與勤勉義務。高級經理人應遵循集團公司的經營管理理念,忠于職守,認真履行職責,盡其最大能力保護公司合法利益,努力提高管理水平和公司業績。

(二)禁止參與可能導致與公司有利益沖突的活動,包括:

1.個人投資。高級經理人不得在與公司有業務往來或者有競爭的經濟實體中投資(經集團公司批准的或所在地法律法規允許的除外);高級經理人的父母、配偶、子女、親屬,不得違反有關規定在高級經理人管轄的區域或業務範圍內從事可能影響其正常履職和侵害公司利益的生産經營活動。

2.商业机会。高级经理人应坚持公司利益高于部门利益和个人利益,不得以下损公肥私的行为:(1) 私自占有应当属于公司经营活动范围内的机会;(2) 利用公司财产、信息或地位谋取个人利益;(3)从事与公司有竞争的活动。

3.業務聯系。高級經理人不得在除公司批准的任何其他公司擔任董事、高級經理人、顧問,或以其他任何身份任職。

4.商務饋贈。高級經理人不得接受可能影響商業決策或有損獨立判斷的有價饋贈,也不得允許或指定其父母、配偶、子女、親屬,或第三人接受饋贈。高級經理人可以在商務活動中交換有限的非現金禮節性饋贈,收受後一個月內按照制度登記上交,且不得由此影響其對業務夥伴的決策。

5.保密信息。高級經理人必須遵守公司關于商業秘密保護的有關規定,除履行職責所需外,不得泄露或擅自使用任何與公司相關的保密信息。

6.收購公司資産、接受公司貸款。高級經理人及其父母、配偶、子女、親屬,不得違反公司章程規定收購公司資産、接受公司所提供的貸款或貸款擔保。

(三)遵守公司信息披露控制和披露程序的原則。直接或間接參與公司信息披露過程的高級經理人,應當遵守公司關于信息披露控制和披露程序的原則以及公司內部控制的各項制度,在公司向境內外監管機構進行文件報備、以及在進行與新聞發布相關的信息搜集、交流與分析過程中,保證公司完整、真實、及時地披露信息。

(四)遵守法律、法規和規則。高級經理人應當遵守公司經營業務所在地區的所有法律、法規和有關監管規則的要求。

(五)公平對待和廉潔自律。高級經理人應當公平對待公司的員工和客戶。不得通過操縱、隱瞞、濫用專用信息或對重大事實進行不實陳述等做法,不公平地對待員工和客戶。高級經理人履行職責和對外交往,不得有損于公司公平廉潔的聲譽。

(六)會計控制。高級經理人應當恰當地批准和執行公司的正當交易,並在公司賬簿和記錄中准確反映,嚴格禁止舞弊、弄虛作假或有其他不良行爲。

(七)公司資産的保護和有效使用。高級經理人應當保證公司資産用于合法的業務目的,依法保護公司資産,並確保其有效使用。

(八)報告違反本規範的行爲。高級經理人對其行爲是否符合本規範不確定時,應向公司監察部門或公司規定的其他受理部門咨詢。高級經理人應當向公司監察部門或公司規定的其他受理部門告本人和他人违反中国法律、上市地监管规则、公司内部规定和本规范的行为。公司应对報告人予以保密并保证其不受打击報复。

三、高級經理人應當恪守本規範要求的基本原則。違反本規範的任何行爲,除依照中國法律、上市地監管規則進行處理外,公司可以根據公司章程和有關規定對其進行處理,直至解除聘任職務或勞動關系。

四、如上市地监管规则及公司章程规定对高级经理人遵守本规范的部分内容作出豁免的,应就此豁免向集团公司作出報告。

五、集團公司授權集團公司所屬的人力資源管理部門和監察部門負責實施本規範和監察遵守本規範的情況。

六、本规范由集团公司人力資源部负责解释,自集團公司發布之日起施行。

 


China Minmetals Corporation

Code of Business Conduct for Senior Managers

(Trial Version)

Pursuant to Chinese laws, regulatory requirements of the listing places, and the Articles of Association of China Minmetals Corporation (hereinafter referred to as “Minmetals”), Minmetals has adopted the following code of business conduct and ethics for purposes of regulating the business conduct and ethics of the company’s senior managers and protecting the company's interests.

I. In this Code, senior managers refer to relevant senior business managers of subsidiaries directly under Minmetals (including Minmetals’ functional departments, business centers and units directly under its control, hereinafter collectively referred to as “the Company”) and relevant personnel in charge of affiliates. Business centers and enterprises directly under the control of Minmetals shall use this Code as a reference in regulating the business conduct of their senior managers according to hierarchical management authority.  

II. Code of Conduct and Ethics Required for Senior Managers

(I) Senior managers shall act honestly and diligently in the performance of their duties for the Company. Senior managers shall follow the business management philosophy of Minmetals, be loyal to and conscientiously perform their duties, use their best endeavors to safeguard the legitimate interests of the Company, and make every effort to improve the management and performance of the Company.

(II) Senior managers may not be engaged in any activity that may cause any conflict of interest with the Company, including:

1. Personal investment. Senior managers shall not invest in any economic entity with business transactions or in competition with the Company, unless otherwise approved by Minmetals or permitted by local laws and regulations; no senior manager’s family members or relatives may engage in productive or operational activities within the territory or business scope managed by him/her as may affect his/her fair and due performance of duties or infringe the interests of the Company in violation of relevant regulations.

2. Business opportunities. Senior managers shall put the Company's interests above the departmental or personal interests, and may not seek the following gains at the expense of the Company: (1) unauthorized possession of opportunities that are properly within the scope of the Company's activities; (2) seeking for personal interests by utilizing the Company’s property, information or position; and (3) engaging in any activity in competition with the Company.

3. Concurrent employment. It is prohibited for any senior manager to serve as a director, senior manager, consultant or in any other identity in any enterprise, unless approved by the Company.

4. Business gifts. Senior managers may not accept, or permit or ask their family members or relatives or third parties to accept any gifts of value that may tend to influence business decisions or compromise independent judgment. The exchange of limited non-cash business courtesies by senior managers in business activities may be acceptable, provided, however, the gift shall be submitted to the Company according to relevant regulations within a month and such exchange shall not improperly influence the decisions about the business partner of the Company.

5. Confidential information. Senior managers shall comply with relevant rules of the Company relating to the protection of commercial secrets, and shall not disclose or use any confidential information with respect to the Company without authorization, except as required in the performance of their duties.

6. Acquisition of the Company’s assets and acceptance of the Company’s loans. Senior managers or their family members and relatives shall not acquire any assets of the Company or receive loans or guarantees for loans from the Company in breach of the Company’s Articles of Association.

(III) Compliance with the Company's policy on disclosure controls and procedures. Senior managers participating directly or indirectly in the Company's disclosure process shall comply with the Company's policy on disclosure controls and procedures and internal control rules to promote full, accurate, and timely disclosure in the collection, communication and analysis of information relating to the filing with Chinese and foreign regulatory bodies and press releases.

(IV) Compliance with laws, regulations and rules. Senior managers shall comply with all laws, regulations and regulatory requirements in each jurisdiction in which the Company conducts business.

(V) Fair treatment and integrity. Senior managers shall provide equal treatment to all the employees and customers of the Company. Senior managers may not take unfair advantage of employees or customers through manipulation, concealment or abuse of privileged information, or misrepresentation of material facts. No actions shall be taken by senior managers that could undermine the Company's reputation of fair dealing and integrity in the course of their performance of duties or in external communication.

(VI) Accounting control. Senior managers shall properly approve and implement all transactions of the Company, and accurately disclose such transactions in the accounting books and records of the Company. Falsification, malpractice or other misconduct is strictly prohibited.

(VII) Protection and efficient use of the Company's assets. Senior managers shall ensure that all of the Company's assets shall be used for legitimate business purposes, and shall protect the Company's assets and ensure their efficient use.

(VIII) Reporting of any behavior in breach of this Code. Senior managers shall consult the supervision organizations at any time if they have doubt regarding compliance with the Code. Senior managers shall report to the supervision organizations on any violations of Chinese laws, regulatory rules of the listing places, internal rules of the Company and this Code caused by their own or others' conduct. The Company shall keep the information confidential and protect the person of such reports from any form of retaliation.

III. Senior managers shall comply with the basic principle as required in this Code. Any violation of this Code will lead to disciplinary action, up to and including termination of employment pursuant to the Articles of Association and the relevant regulations, in addition to the punishment under Chinese laws and regulatory rules of the listing places.

IV. A waiver of this Code by senior managers can be granted and must be disclosed to Minmetals if and to the extent that the regulatory rules of the listing places and the Articles of Association of the Company require such waiver.

V. Minmetals authorizes its Human Resources Department and supervision organizations to implement this Code and to supervise the compliance thereof.

VI. Minmetals’ Human Resources Department shall be responsible for the interpretation of this Code. This Code shall come into force as of the date of its promulgation.

 

 


 

中國五礦集團公司高级经理人

商業行爲承諾書

作为集团公司高级经理人,我深知自己在公司治理中发挥着至关重要的作用。我特此声明,我将坚持和倡导以下原则来规范自己的商业行为和道德操守,承诺自己严格遵守《中國五礦集團公司高級經理人商業行爲規範》和《中國五礦集團公司高级经理人商業行爲承諾書》的相關要求,並願意承擔因不遵守這些原則和責任可能導致的紀律處分和其他處罰。

我將恪守以下十項原則:

1.我保證自己的行爲誠實正直,承諾履職行爲勤勉盡責、公正廉潔、決策民主,不歪曲事實。

2.我保證自己不會利用職務之便進行貪汙、受賄、行賄等形式的利益輸送,避免與公司産生實際或明顯的利益沖突;當發生潛在沖突時,我會提前向公司監察部門或公司規定的其他受理部門報告。

3.我保證遵守相關法律、法規、會計准則和行爲准則。

4.若有违反有关法律或《商業行爲規範》时,我将立即報告公司監察部門或公司規定的其他受理部門

5.我保證自己向公司董事會、高管、員工和股東提供的信息准確、完整、客觀、相關、及時,並易于理解。

6.当向公司上级主管部门、监管机构、媒体等外部机构公开或披露報告时,我将确保提供的報告全面、公正、准确、及时,易于理解。

7.我承諾對我的工作中獲得的信息進行保密,並不會濫用這些信息來謀取私利。

8.對公司委托我的所有資産和資源,我將妥善保管和使用。

9.我將保持創新進取、開放包容的持續學習心態,並樂于把自己獲取的知識、經驗和技能分享給公司和相關同事,爲公司的知識管理體系貢獻才智。

10.在與同事、業務夥伴工作過程中,我將始終樹立群策群力、協作共贏的理念,並願意積極推行和宣傳公司的商業行爲規範。

我已確知並履行以上承諾。

 

 

簽署人:___________________

(請規範正楷書寫)

 

 

簽署日期:_________________

 

China Minmetals Corporation

Letter of Commitment Regarding Business Conduct of Senior Managers

(Trial Version)

As a senior manager of China Minmetals Corporation, I am deeply aware of the vital role I am playing in corporate governance. I hereby declare that I will uphold and promote the following principles to regulate my business conduct and ethics. In addition, I undertake to strictly comply with the relevant requirements of the Code of Business Conduct for Senior Managers and Letter of Commitment Regarding Business Conduct for Senior Managers of, and I am subject to any disciplinary action and other penalties for non-compliance with these principles.

I will uphold the following ten principles:

1. I guarantee that I will act with honesty and integrity, perform my duties in a diligent, fair and honest manner, and make decisions in a democratic fashion without distorting the facts.

2. I guarantee that I won’t take advantage of my position to facilitate any corruption, bribery or other forms of transfer of benefits. I will avoid any actual or apparent conflicts of interest with the Company. In case of any potential conflicts of interest, I will report to supervision organizations of the Company in advance.

3. I undertake to abide by the relevant laws, regulations, accounting standards and codes of conduct.

4. In case of any breach of any law or the Code of Business Conduct, I will promptly report to supervision organizations of the Company.

5. I guarantee that the information provided by me to the board of directors, senior executives, employees and shareholders of the Company is accurate, complete, objective, relevant, timely, and easy to understand.

6. I guarantee that when I make public or disclose any report to higher authorities, regulators, the media and other external agencies, the report provided by me will be complete, objective, accurate, timely, and easy to understand.

7. I undertake to keep the information obtained in my work confidential, and will not misuse such information for any personal gain.

8. I will properly keep and use all the assets and resources entrusted by the Company to me.

9. I will keep innovative, enterprising, open-minded and inclusive, share my knowledge, experience and skills with relevant colleagues, and contribute my wisdom to the knowledge management system of the Company.

10. When working with my colleagues and business partners, I will always promote the concept of team work and mutually beneficial cooperation, and I am willing to actively publicize and promote the code of business conduct of the Company.

I acknowledge having reviewed and agreed to the above commitments.

 

Signatory (Name in Block Letters): ___________________

   

Signed on:            ______MM/DD/YY___________

 

This Letter of Commitment is signed in two copies, with one held by the signatory and the other held by Minmetals (Human Resources Department).


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