Annual Report 2019

舜宇光學科技(集團)有限公司 • 2019 年報 83 Corporate Governance Report 企業管治報告 截至二零一九年十二月三十一日止年度,本集 團已審閱且董事會已取得管理層對本集團的風 險管理及內部監控系統有效性的確認,且董事 會並無發現任何重要關注的事項。本集團於二 零一九年並未發現任何對營運有重大影響的新 興風險。 Group’s major risks 本集團主要風險 Key control and treatment plan(s) 主要控制及處理方案 Target risk trend 目標風險趨向 Legal Risks 法律風險 Risks of Laws and Regulations: 法律法規風險: – Violation or non-compliance with applicable laws and local regulations where the Group has legal entities, or breach of contractual liability may result in adverse publicity. - 違反或不遵守適用法律、實體所在地的地方規例, 或違反合約責任,可能會對本集團公眾形象構成不 利影響。 – Organizing internal audit team and legal team, and hiring external legal & compliance advisors for consultation at the same time to seek legal advice and review the condition for compliance; - 組建內部審核團隊及法律團隊,同時委聘外部法律 及合規顧問,以諮詢相關事宜,尋求有關法律意 見,檢討合規情況; – Reviewing the contract by the legal staff; and - 經由法律人員審閱合約;及 – Proactive monitoring of and preparation for global and local changes in regulations affecting the Group. - 積極監察和準備應對可能影響本集團的全球及本地 監管規例變動。 Risks of Intellectual Property Rights: 知識產權風險: – In the process of developing, production operation and application process, the patents, trademarks, trade secrets might be illegally occupied, lost and infringed, which might damage the Company’s interest; and - 專利、商標、商業機密等在研發、生產經營及使用 過程中可能產生非法佔用、流失、遭受侵權等風 險,損害本公司利益;及 – Formulating patent application plans for product projects, applying for patents in time, and reviewing the list of patents to ensure that patents are effectively and timely protected to improve the patent layout; and - 制定關於產品項目專利申請計劃,及時申請專利, 並定期梳理專利清單,確保專利得到有效及時的維 護,完善專利佈局;及 – Failure to take sufficient measures such as patent search or non-compliance with evasion may lead to the risk of infringing other’s patent rights and infringement litigation. - 未充分採取專利檢索或未適應性的採取規避等措 施,有可能導致侵犯他人專利權進而發生侵權訴訟 的風險。 – Tracking the entitle product patent management in the whole process and properly conducting the appropriate patent infringement search and analysis work in a timely manner to prevent infringement of others’ patent rights. - 對產品專利進行全程管理跟踪,及時做好相應的專 利侵權檢索分析工作,以防止侵犯他人專利權。 For the year ended 31 December 2019, the Group has carried out a review of, and the Board has received a confirmation from the management on, the effectiveness of the risk management and internal control system of the Group. No significant areas of concern were identified by the Board. The Group has not identified any emerging risks that have significant impacts on operations during 2019.

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