Page 25 - SET SD 2563 - EN

Employee Development
Social Development
Environmental Management
Appendix
Performance Summary GRI Standards Content Index
• Publicized anti-corruption measures and the No Gift Policy on the SET intranet.
• Communicated anti-corruption measures and the
No Gift Policy through various channels such as management meetings, through ‘Compliance Champions’ of each department, and at new employee orientations. In addition, organized workshops for relevant key departments such as the Internal Audit Department, Risk Management Department, and Procurement Department.
• Communicated anti-corruption measures and the No Gift Policy to suppliers and prospective suppliers through various channels including bidding process announcements, purchase orders, and terms of references (TOR).
• Created an e-Newsletter to generate awareness and realize compliance with important policies and regulations, including anti-corruption measures.
• Designated that employees enroll in online courses and test their knowledge on good corporate governance, which cover anti-corruption issues. All employees have passed the aforementioned courses.
• No complaints or corruption related cases were found in SET’s business operations.
No violations or breaches of requirements on the acquisition or disposal of securities were found among Governors, management or employees, including their spouses, partners, and underage children.
No cases were found in which management or employees assumed the position of Governor, committee member, or advisor in a listed or member company.
• No violations or complaints of internal data misuse were found among Governors, management or employees.
• Improved measures relating to the use of the Chinese Wall in terms of clarity as well as to cover operations between SET's subsidiaries.
SET Group Code of Conduct
Examples of Measures and Guidelines
2020 Performance
• Enact anti-corruption measures and assess compliance to determined measures in accordance with the guidelines of the Private Sector Collective Action Coalition Against Corruption (CAC).
• Assess and mitigate risks from corruption and conflicts of interest throughout the organization.
• Continuously implement the No Gift Policy by communicating the Policy to management, employees, suppliers, and related parties for their compliance.
• SET’s Governors, including their spouses, partners, and underage children must report on their acquisition or disposal of listed securities in a transparent manner.
• SET Group’s management and employees, including their spouses, partners, and underage children, must report on their securities holdings. Those wanting to invest in securities must request approval to do so and report on their acquisition or disposal of listed securities in a transparent manner.
• Employees are prohibited from taking on director or advisor roles in listed companies and/or member companies.
• To assume a position in another company, an employee must first receive approval from the SET President. In the case of the SET President, an approval must be granted by the SET Chairman.
• In the case that an employee or related party expresses their intention to become a supplier for SET, the employee must disclose, in writing, their relationship to the associated party, and must not be involved in the decision-making on the procurement of the related product or service.
• Enact a policy to classify the confidentiality level of internal information according to importance, and communicate with employees to ensure proper understanding and compliance to the policy.
• Enforced the use of Chinese Wall, an information barrier between departments and employees, to prevent the risk of confidential data leakages from office operations or from “Work from home” operations.
Anti-corruption 205-2
205-3
Acquisition or disposal of securities by governors, management, and employees
Conflicts of interest prevention and management
102-25
Internal data access and confidential data protection
418-1
25