B QUY TC NG X CHUYN NGHIP

CODE OF PRFESSIONAL CONDUCT

HEAD OFFICE
Villa Phuc Thinh, 2 Bis Nguyen Thi Minh Khai, District 1, Ho Chi Minh City, Vietnam
HO CHI MINH CITY LIAISON OFFICE
16 Floor, Saigon Tower, 29 Le Duan Blvd, District 1, Ho Chi Minh City, Vietnam
HO CHI MINH CITY BRANCH
Unit B907, Phu Nhuan Building, Nguyen Thuong Hien St., Ward 6, Binh Thanh District, Ho Chi Minh City, Vietnam
BUON ME THUOC BRANCH
02 Doan Khue, Tan An Ward, Buon Me Thuot City, Dak Lak Province, Vietnam
CONTACT LINES. +84 8 5449 0887 5449 2630
FAX. +84 8 5449 2624

MC LC
CONTENTS
No.
S.
iu 1
Article 1
iu 2
Article 2
iu 3
Article 3
iu 4
Article 4
iu 5
Article 5
iu 6
Article 6
iu 7
Article 7
iu 8
Article 8
iu 9
Article 9
iu 10
Article 10

Tiu
Title
S dng ti sn Cng ty
Using the Company assets
Xung t Li ch
Conflict of Interest
Bo mt
Confidentiality
Cnh tranh lnh mnh
Fair competition
Qu tng
Gifts
Phng chng tham nhng
Anti-corruption
Chng ra tin
Anti-money laundering
Lu tr h s
Maintaining business records
Tun th php lut
Legal compliance
iu khon chung
General provision

Trang
Page
02
03
08
10
10
11
14
17
18
19

1/19

B Quy tc ng x Chuyn nghip cho cc Lut s v Ngi lao ng

Code of Professional Conduct for Lawyers and Employees
Cng ty Lut TNHH MTV L & Trn (Cng ty) cam kt thc hin vic kinh doanh vi
s lim chnh khng nhng b i vi ngi lao ng v lut s ca Cng ty (sau y
gi chung l Ngi lao ng), khch hng, bn bn hng v tt c cc bn th ba khc
v mong mun vic ng x mang tnh o c cao nht t Ngi lao ng ca Cng
ty. Cng ty ang n lc xy dng vn ha minh bch, lim chnh v trung thc v yu
cu tt c nhng Ngi lao ng ch ng tham gia to dng v duy tr vn ha ny.
B Quy tc ng x Chuyn nghip dnh cho nhng Ngi lao ng (sau y gi l
B Quy tc) bao gm nhng g c yu cu v cung cp cc c s hng dn cho
vic bo co nhng quan ngi. Bt k nhng c th ca mt tnh hung c a ra,
vic duy tr vn ha o c ngh nghip c ngha l ch ng la chn thc hin
nhng iu ng n v chnh trc v li ch ca ton th Cng ty. B Quy tc ng x
Chuyn nghip bao gm tt c nhng hn ch v yu cu c quy nh trong cc
hng dn v Xung t Li ch ca Cng ty.
Le & Tran Attorneys at Law (the Company) is committed to conducting business with
uncompromising integrity towards its employees and lawyers (collectively referred to as
Employee or Employees), customers, vendors and all other third parties and expects the
highest ethical conduct from its Employees. The Company is dedicated to fostering a culture of
transparency, integrity and honesty and ask all employees to actively participate in creating and
maintaining this culture. This Code of Professional Conduct for Employees, (the Code)
covers what is expected and provides resources for reporting concerns. Regardless of the specifics
of a given situation, maintaining an ethical culture means making an active choice to do the
right and honorable things for the good of the entire Company. The Code of Professional
Conduct includes all restrictions and requirements set out in the Conflict of Interest guideline of
the Company.
iu 1: S dng ti sn ca Cng ty
Article 1: Using the Company assets
Mi Ngi lao ng c trch nhim s dng ti sn Cng ty ng theo quy nh.
Ngi lao ng phi bo v ti sn Cng ty trnh b mt mt hoc trm cp v
khng s dng ti sn ny cho mc ch c nhn. Ti sn ca Cng ty bao gm thi gi
lm vic ca Ngi lao ng, cng vic v sn phm cng vic; tin mt v cc ti
khon ngn hng; ti sn vt cht nh hng tn kho, thit b, phng tin, my tnh, h
thng, c s vt cht v vt t; ti sn s hu tr tu nh cc sng ch, bn quyn, nhn
hiu, pht minh, cng ngh, phn cng, phn mm v cc b mt thng mi; v thng
tin c quyn hoc khng cng khai khc. Ngi lao ng phi bo qun mt cch ph
2/19

hp tt c ti sn Cng ty thuc phm vi qun l ca ngi lao ng ngn chn vic

s dng tri php. Ngi lao ng c th s dng cc h thng truyn thng in t
ca Cng ty khng v mc ch kinh doanh mc hn ch min l vic s dng ny
l khng thng xuyn; khng cn tr trch nhim ca Ngi lao ng; khng lm
gim nng sut lm vic ca Ngi lao ng, vi chi ph ti thiu v khng vi phm B
Quy tc ny.
Every Employee is responsible for proper use of Company assets. Employees must safeguard
Company property from loss or theft and may not take such property for personal use. Company
property includes employees work time, work and work product; cash and accounts; physical
assets such as inventory, equipment, vehicles, computers, systems, facilities and supplies;
intellectual property, such as patents, copyrights, trademarks, inventions, technology, hardware,
software and trade secrets; and other proprietary or nonpublic information. Employees must
appropriately secure all Company property within their control to prevent its unauthorized use.
Employees may make limited non-business use of the Companys electronic communications
systems as long as such use is occasional; does not interfere with the Employees responsibilities;
does not diminish the Employees productivity; is of minimal cost; and does not violate this Code.
iu 2: Xung t li ch
Article 2: Conflict of interest
2.1. Mt xung t li ch pht sinh khi mt c nhn a ra mt quyt nh, thc hin
mt hnh ng hay tham gia vo mt mi quan h kinh doanh hoc ti chnh m
xung t vi li ch ca Cng ty hoc cn tr hiu qu cng vic hoc kh nng
suy xt c lp ca ngi khi thc hin trch nhim cng vic ca mnh. Tt c
mi quyt nh v hnh ng mang tnh cht cng vic ca Ngi lao ng u
phi da trn li ch tt nht ca Cng ty v khng phi da trn cc mi quan h
c nhn hay li ch c nhn. Ngi lao ng phi c gng trnh nhng tnh
hung m cc hot ng v cc mi quan h c nhn ca Ngi lao ng xung t
hoc c du hiu xung t vi li ch ca Cng ty. Nhng tnh hung ny bao
gm c cc tnh hung m mt Ngi lao ng c th c hoc c du hiu c
mt xung t gin tip thng qua, v d nh, v/chng, ngi c tnh cm c
bit, h hng, hay ngi hoc thc th khc m ngi lao ng c mi quan h
cng vic, x hi, gia nh hoc c nhn. Hn na, Ngi lao ng phi tin hnh
tng bc hp l cung cp thng tin cho Gim c ca Cng ty hoc B phn
Nhn s mt cch kp thi v bt k hot ng kinh doanh hay li ch hoc mi
quan h ti chnh no m h hoc Ngi lao ng khc c m c th nh hng
n li ch tt nht ca Cng ty. Mt xung t li ch c th pht sinh trong nhiu
tnh hung khc nhau. Trong khi B Quy tc ny s khng th lit k tt c cc
tnh hung c kh nng xy ra, nhng v d quy nh di y nhm cung cp
3/19

cho ngi lao ng mt nim v cc loi tnh hung m mt xung t li ch c

th pht sinh. Vic nh gi mt xung t li ch c tn ti hay c du hiu tn ti
c th phc tp. Mt xung t li ch c th c kh nng tim n gy tn hi n
danh ting v phm gi ca Ngi lao ng gy ra xung t li ch. V vy,
Ngi lao ng c khuyn khch thng xuyn kim tra vi Gim c hoc B
phn Nhn s trong trng hp c bt k xung t li ch tim n no c th pht
sinh v Ngi lao ng nn trnh cc xung t li ch .
A conflict of interest arises when a person makes a decision, takes action or enters into a
business or financial relationship that conflict with the Companys interests or interferes
with the persons job performance or independent judgment when carrying out his or her
business duties. All Employees business decisions and actions should be based on the best
interests of the Company and not on personal relationships or personal gain. Employees
should seek to avoid situations where their personal activities and relationships conflict or
appear to conflict with the Companys interests. These include situations where an
employee might have or appear to have an indirect conflict through, for example, a
spouse, significant other, relative or other person or entity with which he or she has a
business, social, family or personal relationship. Furthermore, Employees must take every
reasonable step to disclose promptly any business or financial interest or relationship they
or another employee has that might interfere with the best interests of the Company to the
Director or the HR Department of the Company. A conflict of interest can arise in a
variety of different situations. While it would be impossible to list all possible situations,
the examples provided below are intended to give Employees an idea of the kinds of
situations where a conflict of interest could arise. Evaluating whether a conflict of interest
exists or appears to exist might be complicated. A conflict of interest may potentially
damage the reputation and dignity of the Employee who commits it; therefore, an Employee
is encouraged to frequently check with the Director or the HR Department of the Company
in case any potential conflict of interest may arise and he should avoid it.
2.2. Chnh sch ca Cng ty l thc hin cng vic ca Cng ty theo ng ngn ng
din t v tinh thn ca php lut v tun th cc nguyn tc cao nht ca o
c kinh doanh. Theo , tt c Ngi lao ng phi trnh cc hnh vi gy ra
xung t, hoc c th gy ra xung t vi nhng nguyn tc ny v vi li ch ca
Cng ty. Di y l nhng trng hp c kh nng gy nh hng cn phi
trnh, bt k trng hp ngoi l no u phi c bo co v c s chp
thun ca Gim c ca Cng ty:
It is the policy of the Company to conduct its affairs in strict compliance with the letter and
spirit of the law and to adhere to the highest principles of business ethics. Accordingly, all
Employees must avoid activities which are in conflict, or give the appearance of being in
conflict, with these principles and with the interests of the Company. The following are
4/19

potentially compromising situations that must be avoided, any exceptions must be reported
to and approved by the Director of the Company:
a)

Khin cho Cng ty tham gia vo cc giao dch kinh doanh vi ngi thn
hoc bn b ca Ngi lao ng;
Causing the Company to engage in business transactions with relatives or friends;

b)

S dng cc thng tin khng cng khai v Cng ty, khch hng hoc bn bn
hng ca Cng ty v li ch c nhn (bao gm c vic tham gia vo cc giao
dch chng khon da trn cc thng tin ny);
Using nonpublic Company, customer or vendor information for personal gain
(including securities transactions based on such information);

c)

C li ch ti chnh hn mc bnh thng vi bn bn hng, khch hng,

hoc i th cnh tranh ca Cng ty;
Having more than a modest financial interest in the Company's vendors, customers,
or competitors;

d)

Nhn khon vay hoc bo lnh v bt k ngha v no, t Cng ty hoc mt

bn th ba nh vo chc v ca Ngi lao ng trong Cng ty;
Receiving a loan, or guarantee of any obligation, from the Company or a third party
as a result of the Employees position at the Company;

e)

Cnh tranh, hoc chun b cnh tranh vi Cng ty trong khi vn ang lm
vic cho Cng ty;
Competing or preparing to compete with the Company while still employed by the
Company;

f)

Tit l Thng tin Mt cho ngi ngoi hoc lm dng Thng tin Mt. Hnh
vi tit l thng tin m cha c cho php l s vi phm chnh sch ny d
c hay khng c v li ch c nhn hoc c hay khng c c gy hi cho
Cng ty;
Revealing Confidential Information to outsiders or misusing Confidential
Information. Unauthorized divulging of information is a violation of this policy
whether or not for personal gain or whether or not harm to the Company is intended;

g)

Chp nhn hoc biu tng nhng mn qu c gi tr ng k, cc hnh thc

gii tr qu mc, cc u i hoc cc khon thanh ton c th b xem l gy ra

5/19

nh hng tiu cc hoc khng ph hp hoc lm nh hng xu n Cng

ty;
Accepting or offering substantial gifts, excessive entertainment, favors or payments
that may be deemed to constitute undue influence or otherwise be improper or
embarrassing to the Company;
h)

Tham gia cc t chc cng dn hoc t chc ngh nghip m vic tham gia
ny c kh nng lm tit l Thng tin Mt ca Cng ty;
Participating in civic or professional organizations that might involve divulging
Confidential Information of the Company;

i)

xng hoc tn thnh cc quyt nh nhn s nh hng n vic khen

thng hoc x pht i vi nhng Ngi lao ng hoc cc ng vin c
mi quan h gia nh hoc c hoc c th c lin quan v mt c nhn hoc
x hi;
Initiating or approving personnel actions affecting reward or punishment of
Employees or applicants where there is a family relationship or is or appears to be a
personal or social involvement;

j)

xng hoc tn thnh bt k cc hnh thc quy ri c nhn hoc x hi

ca nhng Ngi lao ng;
Initiating or approving any form of personal or social harassment of Employees;

k)

u t vo hoc nm gi chc v gim c cho cc nh cung cp, khch

hng, hoc cc i th cnh tranh, bao gm c vic u c v ti chnh, trong
trng hp s u t hoc v tr gim c c kh nng gy nh hng
di bt k hnh thc no n vic ra quyt nh hoc qu trnh hnh ng
ca Cng ty;
Investing or holding outside directorships in suppliers, customers, or competing
companies, including financial speculation, where such investment or directorship
might influence in any manner a decision or course of action of the Company;

l)

Vay hoc cung cp cc khon vay cho nhng ngi lao ng, khch hng
hoc nh cung cp;
Borrowing from or lending to employees, customers, or suppliers;

m)

C cc li tc t bt ng sn ca Cng ty;
Acquiring real estate of interest to the Company;

6/19

n)

S dng khng ng hoc tit l cho Cng ty nhng thng tin c quyn
hoc b mt kinh doanh ca bt k ngi s dng lao ng trc y hoc
ngi s dng lao ng m Ngi lao ng ang ng thi lm vic hoc c
nhn hoc thc th khc m Ngi lao ng ang c ngha v bo mt thng
tin;
Improperly using or disclosing to the Company any proprietary information or trade
secrets of any former or concurrent employer or other person or entity with whom
obligations of confidentiality exist;

o)

Tho lun tri php lut v gi c, chi ph, khch hng, vic kinh doanh hoc
v th trng vi cc i th cnh tranh hoc ngi lao ng ca cc i th
cnh tranh;
Unlawfully discussing prices, costs, customers, sales, or markets with competing
companies or their employees;

p)

Tha thun tri php lut vi cc nh phn phi v gi;

Making any unlawful agreements with distributors with respect to prices;

q)

S dng hoc y quyn vic s dng bt k sng ch no l i tng ca

cc tuyn b v sng ch ca bt k c nhn hoc thc th khc mt cch
khng ph hp;
Improperly using or authorizing the use of any inventions that are the subject of
patent claims of any other person or entity;

r)

Tham gia vo cc hot ng hoc quan h vic lm bn ngoi Cng ty c

kh nng xung t vi nhng trch nhim ca Ngi lao ng ti Cng ty;
hoc
Engaging in outside activities or employment that may conflict with the Employees
duties for the Company; or

s)

Tham gia vo bt k hnh vi no m khng v li ch tt nht ca Cng ty.

Engaging in any conduct that is not in the best interest of the Company.

2.3. Mi Ngi lao ng phi thc hin mi hnh ng cn thit bo m tun th

nhng hng dn ny v a bt k nhng vn no bit c hoc c nghi ng
n cho ngi qun l cp cao hn xem xt. Nhng hnh vi vi phm chnh
sch xung t li ch ny c th s phi chu x k k lut lao ng v bao gm c
vic chm dt quan h lao ng.

7/19

Each Employee must take every necessary action to ensure compliance with these
guidelines and to bring any known or suspected problem areas to the attention of higher
management for review. Violations of this conflict of interest policy may result in
disciplinary action up to and including termination of employment.
iu 3: Bo mt
Article 3: Confidentiality
3.1. Ngi lao ng, trong sut thi gian lm vic v sau , phi gi b mt tuyt i,
v khng c s dng, tr trng hp v li ch Cng ty, hoc tit l vi bt k
c nhn, doanh nghip, t chc no m khng c s cho php bng vn bn ca
Gim c ca Cng ty, v bt k Thng tin Mt no ca Cng ty. Thng tin
Mt c hiu l bt k thng tin c quyn, d liu k thut, b quyt hoc b
mt kinh doanh, bao gm, nhng khng gii hn, cc nghin cu, k hoch sn
phm, sn phm, dch v, danh sch khch hng v khch hng (bao gm, nhng
khng gii hn, cc khch hng ca Cng ty, nhng ngi m Ngi lao ng
xem l khch hng hoc nhng ngi m Ngi lao ng bit c trong sut
thi gian lm vic), th trng, phn mm, pht minh, sng ch, quy trnh, cng
thc, cng ngh, thit k, bn v, k thut, thng tin cu hnh phn cng, tip th,
ti chnh hoc cc thng tin kinh doanh khc c Cng ty tit l cho Ngi lao
ng mt cch trc tip hoc gin tip bng vn bn, li ni, hoc bng cc bn v
hoc bng vic quan st cc b phn hoc thit b. Thng tin Mt cng bao gm
Sn phm Cng Vic (nh nh ngha bn di). Thng tin Mt khng bao gm
bt k thng tin no c cp trn m c bit n mt cch rng ri v
ph bin m khng phi do hnh vi vi phm ngha v bo mt ca Ngi lao
ng hoc ca nhng ngi khc c ngha v bo mt cc thng tin hoc cc
thng tin c lin quan; trng hp mc d thng tin hoc cng ngh nht nh c
th c bit n mt cch rng ri nhng trn thc t Cng ty s dng
nhng thng tin v cng ngh v cch thc m Cng ty s dng chng khng
c bit n th nhng thng tin hoc cng ngh c xem l Thng tin Mt.
Employees are expected during the term of their employment and thereafter, to hold in
strictest confidence, and not to use, except for the benefit of the Company, or to disclose to
any person, firm or corporation without written authorization of the Director of the
Company, any Confidential Information of the Company. Confidential Information
means any Company proprietary information, technical data, trade secrets or know-how,
including, but not limited to, research, product plans, products, services, customer lists
and customers (including, but not limited to, customers of the Company on whom an
employee called or with whom an employee has become acquainted during the term of their
employment), markets, software, developments, inventions, processes, formulas,
8/19

technology, designs, drawings, engineering, hardware configuration information,

marketing, finances or other business information disclosed to Employees by the Company
either directly or indirectly in writing, orally, or by drawings or observation of parts or
equipment. Confidential Information also includes the Work Product (as defined below).
Confidential Information does not include any of the foregoing items that have become
publicly known and made generally available through no wrongful act of an Employee or of
others who were under confidentiality obligations as to the item or items involved,
provided that, although certain information or technology may be publicly known, the fact
that the Company uses it and how the Company uses it may not be known, and is therefore
Confidential Information.
3.2. Cng ty tip nhn v trong tng lai s tip nhn t cc bn th ba thng tin
mt hoc nhng thng tin c quyn ca bn th ba ty thuc vo phn trch
nhim ca Cng ty trong vic duy tr s bo mt ca nhng thng tin v ch
c s dng nhng thng tin cho nhng mc ch c gii hn nht nh.
Ngi lao ng phi tuyt i gi b mt nhng thng tin mt hoc thng tin c
quyn ny v s khng tit l vi bt k c nhn, doanh nghip hoc t chc no,
hoc s khng s dng cc thng tin tr trng hp cn thit khi thc hin
cng vic ca mnh cho Cng ty, ph hp vi tha thun ca Cng ty vi bn th
ba.
The Company has received and in the future will receive from third parties their
confidential or proprietary information subject to a duty on the Companys part to
maintain the confidentiality of such information and to use it only for certain limited
purposes. Employees are expected to hold all such confidential or proprietary information
in the strictest confidence and not to disclose it to any person, firm, or corporation, or to
use it except as necessary in carrying out their work for the Company consistent with the
Companys agreement with such third party.
3.3. Trong sut qu trnh lm vic vi Cng ty, Ngi lao ng khng c s dng
mt cch khng ph hp hoc tit l bt k thng tin c quyn hoc b mt kinh
doanh no ca ngi s dng lao ng trc hoc ca ngi s dng lao ng
m Ngi lao ng ang ng thi lm vic hoc ca c nhn hay thc th khc;
v Ngi lao ng s khng mang vo phm vi ca Cng ty bt k ti liu cha
c cng b, thng tin c quyn hoc nhng thng tin mt khc thuc s hu
ca bt k ngi s dng lao ng, c nhn, hoc thc th khc tr khi c s
ng bng vn bn ca ngi s dng lao ng, c nhn hay thc th . Trong
qu trnh thc hin cc nhim v ca Ngi lao ng i vi Cng ty, Ngi lao
ng khng c vi phm bt k tha thun no v khng cnh tranh, chuyn
giao sng ch, thng tin mt hoc thng tin c quyn vi bt k ngi s dng
9/19

lao ng trc hoc mt bn no khc; hay to ra bt k xung t li ch no

vi bt k ai.
Employees are further expected, during their employment with the Company, to not
improperly use or disclose any proprietary information or trade secrets of any former or
concurrent employer or other person or entity and that the Employee will not bring onto
the premises of the Company any unpublished document, proprietary information, or other
confidential information belonging to any such employer, person, or entity unless
consented to in writing by such employer, person or entity. Employees must not breach, in
the course of performance of their duties, any non-compete, invention assignment, or
proprietary or confidential information agreement with any former employer or other party
or create any conflict of interest with anyone.
3.4. Ngi lao ng khng tun th cc quy nh nu trn s b x l k lut lao ng
tng ng v trng hp cu thnh vi phm hnh s th Cng ty c th a v
vic ra cc c quan c thm quyn gii quyt.
Failure to abide by the provisions as stated above will result in appropriate disciplinary
sanctions, and may also constitute a criminal offence which the Company may refer to the
authorities.
iu 4: Cnh tranh lnh mnh
Article 4: Fair competition
Tt c Ngi lao ng, vin chc v cc gim c ca Cng ty phi tun th tt c cc
lut hin hnh v cnh tranh lnh mnh v chng c quyn. Cc lut ny nhm m
bo cho cc doanh nghip cnh tranh mt cch lnh mnh v trung thc v cm cc
hnh ng tm cch lm hn ch hoc ngn cn cnh tranh. Php lut cnh tranh iu
chnh cc mi quan h gia Cng ty v cc i th cnh tranh ca Cng ty. Vic thng
ng gia cc i th cnh tranh l bt hp php v hu qu ca hnh vi vi phm l rt
nghim trng.
All Company Employees, officers and directors must comply with all applicable fair competition
and antitrust laws. These laws attempt to ensure that businesses compete fairly and honestly
and prohibit conduct seeking to reduce or restrain competition. Competition laws govern
relationships between the Company and its competitors. Collusion among competitors is illegal
and the consequences of a violation are severe.
iu 5: Qu tng
Article 5: Gifts

10/19

Ngoi nhng mn qu thng thng m tng hoc c nhn trong qu trnh hot
ng kinh doanh bnh thng (bao gm c vic du lch hoc cc hnh thc gii tr),
khng Ngi lao ng hay ngi thn no ca Ngi lao ng c tng qu cho,
hoc nhn qu tng t cc khch hng, cc bn bn hng hoc cc i tc kinh doanh
khc hin ti v tim nng. Nhng mn qu khc ch c th c tng hoc c nhn
khi c s chp thun trc ca Cng ty (vui lng lin h vi B phn Nhn s c
h tr cho vic xin tt c cc s chp thun cn thit). Trong mi trng hp Ngi lao
ng khng c tng hoc nhn mt mn qu m s a Cng ty hoc Ngi lao
ng vo tnh th xu h nu mn qu c cng b. Nhiu cng ty c nhng quy tc
hoc gii hn v gi tr nhng mn qu m nhng ngi lao ng, nhng vin chc v
cc gim c ca cng ty tng hoc nhn c. Ngi lao ng cn phi bit mi
hng dn ny Ngi lao ng khng t a mnh hoc mt ngi no khc vo
tnh th rc ri nu Ngi lao ng tng qu. Vic nhn hoc a tin mt hoc cc
khon tng ng tin mt t hoc cho bn bn hng, nh cung cp, khch hng hoc
bn th ba khc m tin hnh hot ng kinh doanh vi Cng ty ngoi cc chnh sch
thanh ton kinh doanh bnh thng ca Cng ty khng bao gi c cho l thch hp
hoc c chp nhn. Ngoi ra, cc khon tng ng tin mt bao gm cc chi
phiu, phiu tin, cc phiu mua hng v cc th qu tng. Ngi lao ng khng bao
gi c biu, tng, xi gic hoc chp nhn mt khon hi l hoc tin lt tay no. Bt
k khon no c tng c c s i x u i, d mn qu c nhm c c
s i x u i mt cch khng ph hp hay khng, c th b xem l vt hi l hoc
tin lt tay. Bt k Ngi lao ng no m a hoc nhn hi l hoc tin lt tay u
c th b chm dt quan h lao ng ngay lp tc v b t co vi c quan chc nng
nu cn thit.
Other than modest gifts given or received in the normal course of business (including travel or
entertainment), neither Employees nor their relatives may give gifts to, or receive gifts from,
current or potential customers, vendors or other business associates. Other gifts may be given or
accepted only with prior approval of the Company (please contact HR Department to assist with
obtaining all necessary approvals). In no event should an Employee give or accept a gift that
would put the Company or the Employee in an embarrassing position if the gift were made
public. Many companies have rules or value limitations on gifts given or received by their
employees, officers and directors. Employees should be aware of any such guidelines so that the
Employee does not put him- or herself or someone else in an awkward position if the Employee
offers a gift. It is never appropriate or permissible to accept or give cash or a cash equivalent
from or to a vendor, supplier, customer or other third party who does business with the Company
outside our normal business payment policies. Cash equivalents include, among other things,
checks, money orders, vouchers and gift cards. Employees should never offer, give, solicit or
accept a bribe or kickback. Any item given to obtain special or favorable treatment, whether or
not such a gift is intended to improperly obtain favorable treatment, may constitute a bribe or
11/19

kickback. Any Employee who gives or receives bribes or kickbacks may be immediately
terminated and reported to the appropriate authorities as warranted.
iu 6: Phng chng tham nhng
Article 6: Anti-corruption
6.1. Lm vic vi cc nhn vin nh nc thng c s khc bit vi vic lm vic vi
c nhn hoc cng ty t nhn. Nhng g c th c cho php trong giao dch vi
cc doanh nghip thng mi c th b xem l bt hp php v c th tr thnh ti
phm trong cc giao dch vi nh nc. V d, nhiu c quan nh nc nghim
cm ngi lao ng ca h nhn bt k n p no, bao gm c cc ba n v
cc hnh thc gii tr. Mi Ngi lao ng phi bit v tun th nghim ngt cc
quy nh cm ny. Ngi lao ng phi c bit cn thn rng nhng mn qu
v cc hnh thc gii tr phi khng c hiu nh l cc khon tin hi l, tin lt
tay hoc cc khon thanh ton khng ph hp khc. Vic thanh ton cho cc i
din bn hng hoc cc i l khc ca Cng ty cng b cm nu c l do tin
rng cc khon thanh ton s c s dng gin tip cho mt khon thanh ton b
cm cho mt quan chc nc ngoi.
Dealing with government employees is often different from dealing with private people or
companies. What may be permissible in dealings with commercial businesses may be
deemed illegal and possibly criminal in dealings with the government. For example, many
governmental bodies strictly prohibit their Employees from receiving any gratuities,
including meals and entertainment. Every Employee must be aware of and strictly follow
these prohibitions. Employees must be particularly careful that gifts and entertainment
are not construed as bribes, kickbacks or other improper payments. Payments to sales
representatives or other agents of the Company also are prohibited if there is reason to
believe that the payments will be used indirectly for a prohibited payment to a foreign
official.
6.2

Ngi lao ng b cm a ra cc ngh, thc hin hoc nhn tin mt cch trc
tip hoc gin tip di bt k cch thc no cho bt k mc ch no vi t cch
l Ngi lao ng ca Cng ty hoc di tn ca Cng ty. C th, Ngi lao
ng khng c php thc hin cc hnh vi sau:
The Employee is prohibited to offer, make or receive payment directly or indirectly under
any way for any purpose as an Employee of the Company or under name of the Company.
Particularly, the Employee is not allowed to implement the following behaviors:
a)

Cc khon chi
Payments made
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Thanh ton, ngh hoc ha hn thanh ton (hoc y quyn thanh ton
hoc ngh thng qua mt bn th ba) tin hoc bt k th g c gi tr
(chng hn nh qu tng, gii tr, du lch hoc cc u i khc) cho nhn
vin cng chc nh nc hoc i tc thng mi.
Paying, offering, or promising to pay (or authorizing to pay or offer through a third
party) money or anything of value (such as gifts, entertainment, travel or other
favor) to a government official or commercial associate.
Nhm lm gim hoc tc ng n cc hnh ng hoc quyt nh ca nhn
vin cng chc nh nc trong kh nng quyn hn ca ngi hoc ca
i tc thng mi trong vic thc hin khng ng chc nng cng vic ca
ngi Cng ty hoc Ngi lao ng c c cng vic hoc tip tc
cng vic.
With the intent to induce or influence any act or decision of a government official in
his/ her official capacity or a commercial associate to perform his/her job function
improperly in order for the Company or the Employee to obtain or retain business.
b)

Cc khon thu
Payment received
Yu cu, ng nhn hoc chp thun, mt cch trc tip hoc thay mt cho
mt bn th ba, tin hoc bt k th g c gi tr (chng hn nh qu tng,
gii tr, du lch hoc u i khc) cho nhn vin cng chc nh nc hoc i
tc thng mi i ly, hoc nh l phn thng cho, mt hnh ng
hoc quyt nh cng vic.
Requesting, agreeing to receive or accepting, either directly or on behalf of a third
party money or anything of value (such as gifts, entertainment, travel or other favor)
to a government official or commercial associate in exchange for, or as a reward for, a
business decision or action.

c)

Cc khon tin bi trn

Facilitation payments
Cng ty cm Ngi lao ng s dng cc khon tin bi trn. Mt khon
tin bi trn l mt khon thanh ton nh cho mt nhn vin cng chc nh
nc, thng l mt nhn vin cp thp, vi mc ch xc tin hnh ng
khng ty hn l tc ng n mt quyt nh hoc mt giao dch c th.

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Mt khon tin bi trn thng c s dng xc tin mt cng vic hn

l tc ng n mt cng vic c th.
The Employee is prohibited to use the facilitation payments by the Company. A
facilitation payment is a small payment to a government official, generally a lowlevel official, for the purpose of expediting non-discretionary action rather than
influencing a particular decision or transaction. A facilitation payment is generally
used to expedite a job rather than influencing a particular one.
m bo mt s hnh x c mong i c cho php theo iu ny,
th gii thiu ca Ngi lao ng vi s h tr ca Cng ty l iu bt buc.
Ngi lao ng ch c php thanh ton cc khon tin nh c cho php
theo s chp thun y ca Gim c ca Cng ty.
To ensure the anticipative behavior is permissible with this Article, the references of
the Employee with the assistances of the Company are compulsory. The Employee is
only allowed to make the small payment permitted upon the full acceptance of the
Director of the Company.
iu 7: Chng ra tin
Article 7: Anti - money laundering
Khi tham gia bt c giao dch ti chnh hoc giao dch thng mi vi bt k khch
hng no ca Cng ty, tt c Ngi lao ng cn phi nhn thc v thc hin theo cc
hng dn di y trnh nhng ri ro lin quan n vic ngm ra tin:
When involving in any financial transaction or commercial transaction with any customer of the
Company, all Employees should be aware of and follow the below guidances to avoid the risks
relating to money laundering implications:
7.1. Ngi lao ng phi c c nhng thng tin sau y ca cc khch hng xc
nh nhng khch hng c phi l nhng khch hng c kh nng tham gia
vo nhng hot ng ra tin hay khng:
The following information should be obtained from the customers by the Employee to
identify whether the potential customers engaging in money laundering activities:
a)

Ngy k kt v ngy c hiu lc ca hp ng gia khch hng v Cng ty;

The signing date and the effective date of the contract between the customer and the
Company;

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b)

i vi khch hng c nhn: tn y ; ngy sinh; quc tch; s, ngy cp

v ni cp chng minh nhn dn hoc h chiu; chc v; a ch ng k
thng tr, a ch c tr hin ti v cc thng tin lin lc khc;
For the individual customer: full name; date of birth; nationality; number, date and
place of issuance of identify card or passport; title; permanent residence address;
current residence address and other contact details;
i vi khch hng l doanh nghip: tn y ca doanh nghip; tn vit
tt; m s thu; a ch tr s; lnh vc kinh doanh; thng tin v ngi sng
lp v ngi i din nh yu cu ti iu 18.13.(a).(ii) i vi khch hng
c nhn; v
For the corporate customer: full corporate name; abbreviated name; tax code; headoffice address; business areas; information of founders and representatives as
required in Article 18.13.(a).(ii) for the individual customer; and

c)

Tng gi tr hp ng, cc iu khon v iu kin ca hp ng.

Total value, terms and conditions of the contract.

7.2. Ngi lao ng phi thng bo ngay cho B phn Nhn s ca Cng ty hoc
Gim c ca Cng ty trong trng hp pht hin hoc nhn thy bt k du hiu
no ca giao dch ng ng nh sau:
The Employee must notify immediately to the HR Department or the Director of the
Company where uncovering or realizing any signs of the suspicious transaction as below:
a)

Ngi lao ng khng th xc nh khch hng theo thng tin m khch

hng cung cp hoc khng th xc nh mt giao dch lin quan n mt
khch hng khng xc nh c danh tnh;
The Employee cannot define either the customer according to the information
provided by him or a transaction regarding an unknown customer;

b)

Ngi lao ng nhn thy thng tin do khch hng cung cp khng chnh
xc, khng y hoc khng nht qun vi cc thng tin do Ngi lao
ng ang c, bit c hoc thu thp c;
The Employee realizes that the information provided by the customer is inaccurate,
incomplete or inconsistent with the information obtained, known or collected by the
Employee;

c)

S in thoi c nhn hoc s in thoi c quan do khch hng cung cp

khng th lin lc c hoc khng tn ti sau khi thc hin giao dch;
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Personal phone number or agency phone number provided by the customer cannot be
connected to or is not available after the transaction performance;
d)

S tin giao dch trn ti khon khng ph hp vi thng tin v hot ng

kinh doanh thng thng ca khch hng;
The amount of transaction on account does not meet ordinary information and
business activities of the customer;

e)

Ti khon ca khch hng ngng hot ng hoc giao dch li trong mt (01)
nm tr ln m khng c bt k l do hp l no;
The customers account stops working or re-transacts for one (01) year or more
without any suitable reason;

f)

Giao dch gia Cng ty v cc khch hng b xem l phc tp do giao dch
ny c thc hin thng qua phng thc khng ph hp vi bn cht ca
giao dch, nh c thc hin thng qua nhiu bn trung gian v/hoc nhiu
ti khon khng cn thit; hoc c thc hin gia nhiu ti khon khc
nhau ca cng mt ch ti khon ti cc khu vc a l khc nhau;
The transaction between the Company and the customer is deemed to be complicated
for reason that such transaction is made with methods not appropriate to the nature
of the transaction, such as a transaction made through many unnecessary
intermediaries and/or accounts; or through many different accounts of the same
account holder in different geographical areas;

g)

Giao dch c thc hin vi mt khch hng c lin quan n cc hot ng

bt hp php b a ln cc h thng truyn thng cng cng v t chc
a tin bit, hoc trong danh sch khin trch do cc c quan Nh nc c
thm quyn cung cp;
A transaction is conducted by a customer related to illegal activities which are posted
on the public media systems and known by the reporting organization, or in the
reprimand list provided by the competent State authorities;

h)

Khch hng yu cu thc hin thanh ton mt ln cho giao dch gia khch
hng v Cng ty trong khi hnh thc thanh ton ny r rng khng ph hp
vi hnh thc thc thanh ton thng xuyn gia khch hng v Cng ty;
The customer requires to make one-off payment for the transaction between the
customer and the Company while such payment method is not subject to ordinary
payment methods between the customer and the Company;

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i)

Khch hng yu cu Cng ty k kt hp ng c gi tr ln bt thng, hoc

gi tr giao dch ny r rng khng ph hp vi mc gi tr giao dch thng
xuyn gia khch hng v Cng ty;
The customer requires that the Company signs the contract with a value which is
extraordinarily high, or clearly not subject to the value of ordinary transactions
between the customer and the Company;

j)

Khch hng l t mt chi nhnh hoc cng ty nc ngoi c tr s chnh

ti mt nc hoc vng lnh th khng hp tc, theo lc lng c nhim ti
chnh v chng ra tin (FATF) b nhim lm thnh vin; hoc ti nhng
nc ni m s tham nhng hoc vic sn xut bt hp php v bun bn
ma ty c th l ph bin; v
The customer is from an offshore branch or company with its headquarters in a noncooperating country or territory, according to the financial action task force on anti money laundering (FATF) to appoint, or in the countries where corruption or illegal
production and trafficking of drugs may be common; and

k)

Khch hng thuyt phc hoc xi gic Ngi lao ng khng bo co cho
Cng ty v giao dch gia h v Cng ty, v/hoc bt k iu g b pht hin
hoc c nhn thy nu ti iu ny.
The customer persuades or solicits the Employee not to report the transactions
between him and the Company, and/or anything uncovered or realized provided
herein to the Company.

7.3. B phn Nhn s ca Cng ty m c thng bo v cc du hiu ca nhng

giao dch ng ng phi hng dn Ngi lao ng cch gii quyt ph hp vi
php lut Vit Nam c p dng.
The HR Department of the Company notified to the signs of suspicious transactions must
guide the Employee to the settlements which are suitable with the applicable laws of
Vietnam.
iu 8: Lu tr h s
Article 8: Maintaining business records
Cc h s cng vic phi c lu tr trong thi hn c quy nh bi Gim c ca
Cng ty; ngc li, nhng h s ny phi c lu tr vnh vin hoc cho n khi c
hng dn ca b phn chuyn mn ca Ngi lao ng hoc Gim c ca Cng ty
theo php lut Vit Nam hin hnh. H s ch b tiu hy khi kt thc thi hn lu tr
thch hp. H s bao gm cc ti liu giy, th in t, a CD, a cng ca my
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tnh, a mm, vi phim v tt c cc thng tin c lu tr khc, bt k hnh thc lu

tr hoc c tnh. Vic khng tun th cc hng dn ny c th dn n ch ti dn
s v hnh s nghim trng cho nhng Ngi lao ng v Cng ty. Ngi lao ng
nn kim tra vi Gim c ca Cng ty xc nh thi gian lu gi thch hp dnh
cho cc ti liu i vi b phn chuyn mn ca Ngi lao ng. Trong mi trng
hp h s lin quan n vic tranh tng ang ch gii quyt hoc nguy c tranh tng
xy ra hoc yu cu ca c quan nh nc, giy triu tp ca Ta n hoc cc yu cu
thng tin khc th h s khng th b loi b hoc b tiu hy, khng ph thuc vo thi
hn quy nh trong chnh sch lu tr h s. Ngoi ra, Ngi lao ng khng bao gi
c tiu hy, sa i hoc che giu h s Cng ty v mt mc ch sai tri hoc cn tr
bt k quy trnh chnh thc no d l trc tip hay gin tip.
Business records must be maintained for the periods specified by the the Director of the
Company; otherwise, they must be maintained permanently or until having instructions
otherwise from the Director of the Company under the prevailing laws of Vietnam. Records may
be destroyed only at the expiration of the pertinent period. Records include paper documents,
email, compact discs, computer hard drives, floppy disks, microfiche, microfilm and all other
recorded information, regardless of medium or characteristics. Civil and criminal penalties for
failure to comply with such guidelines can be severe for Employees and the Company. An
Employee should check with the Director of the Compay to determine the appropriate retention
period for documents for their business unit. In no instance may records involved in pending or
threatened litigation or a government inquiry, subpoena or other information request be
discarded or destroyed, regardless of the periods specified in the record retention policy. In
addition, an Employee may never destroy, alter or conceal with an improper purpose a company
record or otherwise impede any official proceeding, either directly or indirectly.
iu 9: Tun th php lut
Article 9: Legal Compliance
Tt c Ngi lao ng phi tun th ngn t din t ln tinh thn ca tt c cc quy
nh php lut, cc quy tc v cc quy nh ca nh nc hin hnh v phi bo co v
bt k hnh vi no m h tin tng mt cch hp l v thin ch rng hnh vi ny s
cu thnh mt s vi phm lut php, quy tc, quy nh, hoc B Quy tc ny. Yu cu
ny s p dng i vi bt k hnh vi vi phm hoc hnh vi vi phm tim n no lin
quan n Ngi lao ng trong Cng ty. Tt c Ngi lao ng phi chu trch nhim
v vic pht hin, ngn nga v bo co v nhng hnh vi v kh nng vi phm ny.
Hnh vi sai tri khng th c min tr v l do n c ch o hoc yu cu bi
ngi khc. Trong trng hp ny, Ngi lao ng phi bo cho ban qun l nu
Ngi lao ng pht hin hoc c l do hp l nghi ng rng mt hnh ng tri
php lut, khng trung thc hoc phi o c din ra. Vic lm ny ca Ngi lao
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ng c th thc y tinh thn o c v c nh hng tch cc i vi cch ng x

ca Ngi lao ng ng nghip. Cng ty, v th, yu cu tt c Ngi lao ng phi
bo cho ban qun l nu h pht hin hoc c l do hp l nghi ng v mt hnh
ng tri php lut, khng trung thc hoc phi o c xy ra.
All Employees are expected to comply with both the letter and spirit of all applicable
governmental laws, rules, and regulations and to report any activity they reasonably and in good
faith believe constitutes a violation of any law, rule, regulation, or this Code. This requirement
applies to any violation or potential violation involving Company Employees. All Employees are
responsible for the detection, prevention, and reporting of such activity. Misconduct cannot be
excused because it was directed or requested by another person. In this regard, Employees are
expected to alert management if they discover or reasonably suspect that an illegal, dishonest or
unethical act has taken place. An Employees conduct can reinforce an ethical atmosphere and
positively influence the conduct of fellow employees. The Company therefore expects all
Employees to alert management if they discover or reasonably suspect an illegal, dishonest or
unethical act has occurred.
iu 10: iu khon chung
Article 10: General provision
9.1. B quy tc ny c lp thnh song ng ting Vit v ting Anh, trong trng
hp c s khc nhau gia ting Vit v ting Anh, bn ting Vit s c u tin
p dng.
This Code is made in Vietnamese and English, in case of any difference between the
Vietnamese and the English, the Vietnamese shall prevail.
9.2. B Quy tc ny s c hiu lc k t ngy 02 thng 05 nm 2014 v s c sa i,
b sung theo s xem xt ca Gim c ca Cng ty tu tng thi im.
This Code shall be effective on May 02, 2014 and may be amended and supplemented at the
discretion of the Director of the Company from time to time.
______________________________________________________________________________

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