The Scope of the Policy
1. DUFU has designed a strong internal control and operating procedures to detect and prevent improper activities. Nevertheless, even best internal control system also cannot absolutely deter those fraud or improper activities.
2. Therefore, DUFU has set up policies to facilitate employees and members of the public to disclose any improper conduct (misconduct or criminal offence) through internal channel.
3. This Policy is designed to offer protection to those who made an allegation, to the extent reasonably practicable, provided the allegation is made in good faith.
4. A disclosure of improper conduct may be made based on a person’s reasonable belief that any person has engaged, is engaging or is preparing to engage in improper conduct. Examples of improper conduct include but not limited to the following:-
a) any fraud, bribery, abuse of power, conflict of interest, theft or embezzlement, misuse of property of the Dufu Group or any breach or non-compliance of policies or procedures of or discipline in the Dufu Group; and
b) any conduct which if proved, constitutes a criminal offence.
5. A disclosure of improper conduct may also be made:-
a. although the person making the disclosure is not able to identify a particular person to which the disclosure relates;
b. although the improper conduct has occurred before the effective date of this Policy;
c. in respect of information acquired by him while he was an officer or employee of the Dufu Group or a body dealing with the Dufu Group; or
d. of any improper conduct of a person while that person was an officer or employee of the Dufu Group or a body dealing with the Dufu Group.
6. Any person who has made a disclosure of improper conduct (“whistleblower”) shall, upon receipt of the disclosure of improper conduct by the Chairman of the Audit Committee or Head of Internal Audit Department, be conferred with whistleblower protection under this Policy, which includes:-
a. protection of “confidential information” which includes:-
i. information about the identity, occupation, residential address, work address or whereabouts of-
(A) a whistleblower; and
(B) a person against whom a whistleblower has made a disclosure of improper conduct;
ii. information disclosed by a whistleblower; and
iii. information that, if disclosed, may cause detriment to any person.
b. protection against “detrimental action” which includes:-
i. action causing injury, loss or damage;
ii. intimidation or harassment;
iii. interference with the business relationship with the Dufu Group or the lawful employment or livelihood of any person, including discrimination, discharge, demotion, suspension, disadvantage, termination or adverse treatment in relation to a person’s employment, career, profession, trade or business or the taking of disciplinary action; and
iv. a threat to take any of the actions referred to in paragraphs (i) to (iii).
7. DUFU, however, does not extend this assurance to an individual who maliciously raises a matter he/she knows is untrue. If an individual makes malicious allegations, disciplinary action may be taken against the individual.
The Chairman of the Audit Committee shall revoke the whistleblower protection conferred under this Policy if he is of the opinion, based on the investigation conducted or in the course of the investigation that—
a) the whistleblower willfully made in his disclosure of improper conduct a material statement which he knew or believed to be false or did not believe to be true; or
b) the disclosure of improper conduct is frivolous or vexatious; or
c) the disclosure of improper conduct is made solely or substantially with the motive of avoiding dismissal or other disciplinary action.
If the whistleblower protection has been revoked, a written notice to that effect shall be given to the whistleblower.