Ubiqconn Technology Business Integrity Management

Evaluation Item

(1) Has the company developed an ethical business policy approved by the Board of Directors and clearly delineated ethical business policies and practices in regulatory documents and external communications, while demonstrating the commitment of the Board of Directors and senior management to implement these policies?

Summary Explanation

On March 28, 2023, the Board of Directors endorsed the Ethical Corporate Management Best Practice Principles and the Procedures for Ethical Management and Guidelines for Conduct, which are duly implemented and made publicly available on the Company's website. Upon assuming their roles, directors and managers are obligated to sign a Statement of Nonviolation of Ethical Principles.

Any Deviation from the Principles and the Reason therefor

N/A

Evaluation Item

(2) Has the company established a mechanism to assess the risk of unethical conduct, regularly analyzing and evaluating business activities with a higher risk of unethical behavior within its business scope, and using this information to develop measures to prevent unethical behavior, including at least preventive measures for the behaviors specified in Article 7, Paragraph 2 of the Ethical Corporate Management Best Practice Principles for TWSE/TPEx Listed Companies?

Summary Explanation

The aforementioned principles, operational procedures, and conduct guidelines are incorporated into the Company's annual training curriculum and published on its website. Additionally, the Company's website includes a section for stakeholders, offering channels to report any unethical behavior.

Any Deviation from the Principles and the Reason therefor

N/A

Evaluation Item

(3) Does the company outline operational procedures, conduct guidelines, disciplinary measures for violations, and a complaint system within the framework of an unethical conduct prevention plan, and effectively execute periodic reviews and adjustments to this plan?

Summary Explanation

Internal audits are part of the annual audit plan, involving regular and ad hoc audits of implementation status.

Any Deviation from the Principles and the Reason therefor

N/A

Evaluation Item

(1) Does the company assess the ethical records of its counterparties and include ethical conduct clauses in contracts signed with them?

Summary Explanation

Such clauses are incorporated into the Company's standardized contracts.

Any Deviation from the Principles and the Reason therefor

N/A

Evaluation Item

(2) Has the company established a dedicated unit under the Board of Directors to promote ethical management, and does it regularly (at least once a year) report its ethical management policies and measures to prevent unethical conduct to the Board of Directors, as well as supervise their implementation?

Summary Explanation

The company's Corporate Governance Unit is responsible for promoting business integrity and overseeing the implementation of integrity policies and prevention programs. This unit assists the board of directors and management in formulating and supervising the execution of integrity management policies, ensuring the implementation of the Code of Integrity. The dedicated unit reported its progress to the board of directors on November 12, 2024. For the execution status in 2024, please refer to our company's website:

Any Deviation from the Principles and the Reason therefor

N/A

Evaluation Item

(3) Has the company formulated policies to prevent conflicts of interest, provided appropriate channels for representation, and implemented them?

Summary Explanation

The Company has established channels for complaints and maintains a complaint mailbox, as well as a Stakeholders' Area on the Company website.

Any Deviation from the Principles and the Reason therefor

N/A

Evaluation Item

(4) Has the company established effective accounting systems and internal control systems to implement ethical management practices? Does the internal audit unit formulate relevant audit plans based on the assessment results of unethical conduct risks and use them to audit compliance with the measures to prevent unethical behavior, or does it entrust auditors to carry out audits?

Summary Explanation

Such practices are included in the annual audit plan for implementation In accordance with the Company's Ethical Corporate Management Best Practice Principles and Procedures for Ethical Management and Guidelines for Conduct.

Any Deviation from the Principles and the Reason therefor

N/A

Evaluation Item

(5) Does the company regularly conduct internal and external education and training on ethical management practices?

Summary Explanation

The Board of Directors of the Company schedules an annual review of ethical management principles reports for reference, and new employees are included in the orientation training program

Any Deviation from the Principles and the Reason therefor

N/A

Evaluation Item

(1) Has the company established specific reporting and reward systems, as well as convenient reporting channels, and designated appropriate personnel to handle reported matters?

Summary Explanation

Article 21 of the Company's Procedures for Ethical Management and Guidelines for Conduct outlines specific reporting and reward systems, with a designated individual responsible for the Stakeholders' Area on the Company website.

Any Deviation from the Principles and the Reason therefor

N/A

Evaluation Item

(2) Has the company established standard operating procedures for investigating reported matters, post-investigation measures, and relevant confidentiality mechanisms?

Summary Explanation

Article 21 of the Company's Procedures for Ethical Management and Guidelines for Conduct specifies standard operating procedures for addressing reported matters, post-investigation measures, and relevant confidentiality mechanisms, all of which are publicly available on the Company website.

Any Deviation from the Principles and the Reason therefor

N/A

Evaluation Item

(3) Does the company take steps to safeguard whistleblowers from unfair treatment?

Summary Explanation

The Company's whistleblower protection measures include non-disclosure of information sources, third-party investigations, and the execution of confidentiality agreements with relevant parties

Any Deviation from the Principles and the Reason therefor

N/A

Evaluation Item

4. Enhanced Information Disclosure

Summary Explanation

1. The Company's website can be found at: Go to website
2. The Market Observation Post System website can be found at:Go to website
3. The Company has no history of penalties for breaching ethical management practices

Any Deviation from the Principles and the Reason therefor

N/A