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About HanmiCompliance ManagementResponsibilities of all departments and personnel

Responsibilities of all departments and personnel

    1. Compliance Committee

    The Compliance Committee consists of a team leader, a deputy team leader and several team members, determines the setting and functions of
    Hanmi compliance related departments and define the division of responsibilities between Compliance Department and other relevant

    Review, decide and approve basic policies such as compliance management regulations and internal systems and supervise their

    Regularly or irregularly evaluate the effectiveness of compliance management and raise opinions and suggestions;

    Report the results of individual cases sampled by the Audit and Monitoring Department and give concluding observations;

    Approval, decision or concluding observations made by the Compliance Committee must be executed only after being reviewed and approved by
    the General Manager.

    2. Compliance Department

    Focus and persistently track the latest changes of laws, regulations and industry codes, construct Hanmi compliance management system and
    timely formulate and revise Hanmi compliance

    Prior review operation activities exceeding compliance range and higher than compliance standard.

    Issue compliance opinions on audit reports submitted by compliance range and higher than compliance standard.

    Formulate a compliance training plan, and specifically implement effective compliance training and examination items.

    3. Audit and Monitoring Department

    Carry out prior, in-process and post compliance and enforceability audit and supervision on Hanmi daily operation activities;

    For individual cases receiving complaints, the Compliance Committee carries out audit and supervision and issues result reports after

    Under authorization of the Compliance Committee, audit and supervise designated operation activities.

    4. Human Resources Department

    Evaluate, formulate, revise and perfect human resources management system according to Hanmi CP management regulations;

    Execute relevant decisions made by Compliance Committee, and record and put execution conditions on record truthfully;

    Organize compliance training for fresh employees, salesmen and middle-level leads.

    5. All staff

    Follow PRC’s laws, regulations and regulatory documents;

    Report any illegal behavior in time.