Ethical Conduct Regulations

Implement Intergrity Management

• SCSB organizes training on ethical corporate management every year, and contents include The Ethical Corporate Management Best Practice Principles, Procedures for Ethical Management and Guidelines for Conduct, and cases of unethical conduct. Furthermore,information on the latest laws and regulations and severe fines is periodically provided to raise employees' professional ethics,raise their compliance awareness, and prevent unethical conduct.
• SCSB employees took related courses 14,626 person-times in 2022:
  • SCSB offered the online course "2022 Communication of Important Notes in SCSB Ethical Corporate Management Best Practice Principles" (Chinese and English versions) between June 9 and August 31, 2022 (0.31 hours). (3,171 staff members completed the course)
  • SCSB offered the online course "Principles of Treating Customers Fairly in the Financial Service Industry" between November 14 and December 30, 2022 (3.6 hours).(2,933 staff members completed the course)
  • SCSB offered the online course "2022 Friendly Financial Services" between October 17 and December 31, 2022 (1.5 hours). (2,947 staff members completed the course)
  • SCSB offered the online course "Introduction to Anticorruption and Whistleblower Protection" between May 3 and July 31, 2022(1 hour). (2,743 staff members completed the course)
  • SCSB offered the online course "Dementia-friendly Angels" between July 18 and 29, 2022 (0.6 hours). (1,466 staff members completed the course)
  • SCSB offered the online course "Communication of Notes on Short-term Trading vs Insider Trading" between August 2 and 31,2022 (1 hour). (606 staff members completed the course)
    The course content includes: short-term trading and insider trading definitions, cases, violation handling; the scope and definition of important internal information, etc.
    Provide that directors, managers and insiders are not allowed to trade their shares during the closed period of 30 days prior to the publication of the annual financial reports and 15 days prior to the publication of the quarterly financial reports.
    Before taking office, new managers will be provided with relevant information such as management measures for preventing insider trading, and asked to complete the above-mentioned online courses in the internal employee system.
  • The Taiwan Academy of Banking and Finance organized two batches of the "2022 Friendly Financial Service Seed Instructor Training Workshop" on November 15 and December 5, 2022 (6 hours each) (2 attendees completed the workshop).
  • "2022 Friendly Financial Service Guidelines – Elderly and Accessibility Course" organized by Taipei Foundation of Finance from October 17 to December 16, 2022 (2 hours). (50 staff members completed the course)
  • The Institute of Financial Law and Crime Prevention offered the course "2022 Principles for Treating Customers Fairly in the Financial Service Industry" on August 26, 2022 (3 hours). (1 staff members completed the course)
  • The Taiwan Academy of Banking and Finance offered the "2022 Promotional Course on the Latest Developments of Consumer Protection in the Banking Industry" on August 30, 2022 (5.5 hours).
  • The Consumer's Foundation Chinese Taipei organized the "2022 Financial Consumer Forum – Consumer Protection for Fair Digital Finance" on April 4, 2022 (5.5 hours). (1 staff members completed the course)
  • The Taiwan Academy of Banking and Finance held two batches of the "Compliance Personnel Pre-job Workshop: Financial Consumer Protection Act and Fair Customer Treatment Principles" from August 3 to 24 and from September 7 to 28, 2022 (3 hours each). (A total of 63 staff members completed the course)
  • The Financial Ombudsman Institution held two batches of the "Introduction to Financial Consumer Protection Act and Relevant Cases" on September 14 and November 22, 2022 (3 hours each). (A total of 2 staff members completed the course)
  • The Taiwan Academy of Banking and Finance organized two batches of the "Financial Planning Consultants for the Elderly Training Course (seven series)" from May 15 to August 7 and from May 21 to July 31, 2022 (56 hours). (10 staff members completed the course)
  • The Taiwan Academy of Banking and Finance organized two batches of the "Financial Planning Consultants for the Elderly Training Course (nine series)" from May 15 to August 7 and from May 21 to July 31, 2022 (72 hours). (7 staff members completed the course)
  • The Consumer's Foundation Chinese Taipei offered the course "Core Talents of Banking Industry – Legal Affairs Personnel Class 1: Financial Consumer Protection Act" on September 26, 2022 (6 hours). (2 staff members completed the course)
  • Issued a document on October 28, 2022 to inform the directors about the stock lock-up period and the reference rules for prohibiting insider trading.
  • The Bank's "Integrity Management Policy Advocacy and Commitment" was announced to all colleagues at the bank-wide morning meetings on August 12, 2022.
  • Incorporate issues related to integrity management into the training courses for new managers to enhance understanding of the laws and regulations that must be followed in branch operations and business execution and the importance of operational risks.
  • Advocate for integrity in internal meetings of executive managers.