CP Operating Instructions

Chapter 1: General Provisions

  • Article 1 [Purpose]
    • The Guidelines for the Operation of the Fair Trade Compliance Program (the "Guidelines") are issued to the Compliance Officer in order to efficiently operate the Fair Trade Compliance Program Operation Regulations (hereinafter referred to as the "Regulations"). The purpose of the delegated matters is to be determined in detail.
  • Article 2 [Scope]
    • These regulations apply to all business activities of all employees and fair transactions of the Company.
  • Article 3 [Definition of Terms]
    • In addition to the terms used in the Regulations, the definitions of terms used in these Guidelines are as follows:
      1. "Pre-verification" means prevention of violation of the law by consulting with the compliance officer in advance in case of violation of the competition law.
      2. "Sanctions" refers to the act of promoting employees' compliance with the Fair Trade Compliance by implementing strict disciplinary measures against violations of competition laws that occur repeatedly and structurally.
      3. "Document management" refers to the management of the flow of documents from archiving, preservation and disposal to documents generated during the course of business.

Chapter 2 Organizational Structure and Work Discipline

Section 1 Compliance Officer

  • Article 3 [Agency]
    • If the Compliance Manager is unable to perform his / her duties due to unavoidable circumstances, the secretariat of the Compliance Officer shall perform the duties until the Compliance Manager performs his / her duties.
  • Article 4 [Specific duties of compliance officer]
    • ① Compliance officers perform the following duties to ensure efficient operation of compliance compliance duties.
      • 1. Establishment and Planning of Compliance Program
      • 2. Regular employee training and management of the status of education related to compliance with compliance and legal compliance
      • 3. Support and consultation on key issues of fair trade
      • 4. Establish detailed action plans for other employees to establish compliance
      • 5. Periodic record keeping and document management system for compliance
    • ② In cases other than those listed in Paragraph 1 above, the Compliance Manager may take charge of his / her duties with the approval of the representative director when deemed necessary.

Section 2 Compliance Training Program

  • Article 5 [Education-related Responsibilities and Rights]
    • ① Responsibility and authority regarding the employee training of the compliance officer are as follows.
      • 1. If the main content of the Compliance Operation Regulations is changed, or if it is deemed necessary, such as matters to be recognized by the employees in accordance with the amendment of the competition laws and regulations, education should be conducted.
      • 2. It should be able to prevent illegal act in advance by educating mainly on competition law related to the work of employees.
      • 3. The necessary details regarding education can be specified separately.
    • ② Responsibility and authority regarding the employee training of the Office of Compliance is as follows.
      • 1. Plan and report the whole process of training execution.
      • 2. Notify the target person of the training schedule by selecting the target person by the curriculum.
      • 3. Preparation of educational records for education, approval of the compliance officer

Section 3 Penalties for Violation of Competition Law

  • Article 6 [sanctions against offenders]
    • The Compliance Officer reviews the degree of violation of the law and the circumstances of the offender to decide whether to impose sanctions.

Section 4 Document Management

  • Article 7 [Document Management Responsibility]
    • All records related to the Fair Trade Compliance Program shall be maintained by the Compliance Office and designated by the document management officer for three years.

Addendum

  • These guidelines will be effective from July 28, 2011.