GTJAI Supplier Sustainable Policy

Introduction

Guotai Junan International Holdings Limited (“GTJAI”) (together with its subsidiaries) is an integrated financial service provider in Hong Kong. GTJAI is committed to conducting our operations in a responsible and sustainable manner. We understand that our suppliers may affect the economy, environment and communities in which they operate. In achieving our goal of sustainability development that makes life better, the following principles set out our general expectations of suppliers who doing business with GTJAI.

Principles

Governance and general compliance

-         Comply with applicable laws and regulations and honor applicable industry standard

-         Provide accurate and reliable information when required

-         Declare any potential or actual conflict of interest

-         Report promptly any actual or potential issues which likely cause GTJAI violates the laws and regulations

Environmental management

-         Ensure compliance with applicable environmental protection laws, regulations and standards

-         Have adequate measures in place to manage material environmental impacts of your operations, such as air and greenhouse gas emissions, generation of hazardous and non-hazardous waste, use of resources (including energy, water and other raw materials), and to minimize the impact on the environment and natural resources

Employment and labour practices

-         Comply with relevant laws and regulations in relation to employment and labour practices

-         Ensure fair treatments to your employees and/or contractors. These should include adequate working hours, rest periods, fair compensation, equal opportunities, anti-discrimination and anit-harassment

-         Ensure all employees and/or contractors are legally allowed to work and that no forced labour and child labour is employed in delivering products or services to GTJAI

Work health and safety

-         Ensure compliance with relevant work health and safety laws and regulations

-         Provide a safe working environment and protecting employees and/or contractors from occupational hazards

Anti-corruption

-         Not offer GTJAI employees advantages (including but not limited to cash or in kinds of gifts as defined in the Prevention of Bribery Ordinance (Cap. 201) of the laws of Hong Kong) without permission by GTJAI

-         Not engage in or facilitate any business that may lead to a breach of relevant bribery and corruption laws

Anti-money laundering and counter-terrorist financing

-         Comply with sanctions regimes of the jurisdictions in which you operate

-         Not engage in or facilitate any business that will lead you or GTJAI to breach any sanctions obligations

-         Not participate in any activity aimed at laundering money

-         Not provide any assistance, or benefit from, criminal acts or terrorism activities

Confidential information, data and privacy protection

-         Prevent disclose confidential information regarding the GTJAI’s business without the GTJAI’s prior written consent

-         Has its own policies in place to protect data and privacy

-         Protect the privacy of employees and customers and comply with the relevant laws, such as Personal Data (Privacy) Ordinance of the HKSAR, when collecting, handling, storing or using personal data in Hong Kong

Product safety

-         Provide goods and/or services that meet legally required standards for consumer health and safety

Community

-         Play a positive role in the communities in which you operate

Raise a concern

If you find any possible illegal or inappropriate behaviours, conduct or activities that may affect GTJAI, in the first instance, you are encouraged to raise your concerns directly with GTJAI at comsec@gtjas.com.hk or complaint@gtjas.com.hk.