Interim Report 2022

43 舜宇光學科技（集團）有限公司 • 2022 中報 Other Information 其他資料 本集團的內部審計部應確保本公司的內部 監控健全有效，可維護股東的投資權益及 本集團的資產安全。內部審計部的主要職 能是審核本公司各附屬公司的經營效益、 審核主要管理人員的辭任及委任、協助董 事會審核本集團內部監控系統的有效性、 審閱業務流程內部監控、審核全面風險管 理落實情況、推動反貪污建設及審核個別 項目（如關連人士交易合規性及發出商品審 核報告）。董事會每年進行本集團內部監控 評估，其中包括財務、營運合規監控與風 險管理職能。 董事會知悉其對風險管理工作的有效性負 責，並授權審核委員會作為專業委員會， 專業審閱管理層提交的風險管理報告，確 保管理層已履行建立有效的風險管理及內 部監控系統的職責，並每年對其進行檢 討。本集團已建立企業風險管理系統，以 識別、評估、管理及監控各種可能影響本 集團及各主要部門的風險，包括戰略、財 務、市場、運營及合規等方面的風險。 董事進行證券交易 本公司已採納上市規則附錄十所載的標準 守則。向所有董事作出特定查詢後，全體 董事已確認，其於截至二零二二年六月 三十日止六個月內一直遵守標準守則及其 行為守則所規定有關董事證券交易的標準。 The internal audit department of the Group should ensure that the Company maintains sound and effective internal controls to safeguard the Shareholders’ investment interests and the Group’s assets safety. The main functions of the internal audit department are to audit the operating efficiencies of each subsidiary of the Company, to audit upon resignation and appointment of key management personnels, to assist the Board in auditing the effectiveness of the internal control system of the Group, to review internal control of business processes, to audit the implementation of overall risk management, to promote the construction of anti- corruption and to audit individual projects (such as compliance of related party transactions and audit report of goods in transit). Evaluation of the Group’s internal controls covering financial, operational compliance controls and risk management functions will be conducted annually by the Board. The Board acknowledges that the Board is responsible for the effectiveness of the risk management and has authorised the Audit Committee to act as the professional committee to professionally review the risk management reports submitted by the Management, ensuring that the Management has fulfilled its responsibilities to establish effective risk management and internal control systems, and review them annually. An enterprise risk management system has been established by the Group to identify, assess, manage and monitor various risks including strategy, financing, market, operation and compliance that may have impacts on the Group and each major department. Securities Transactions by Directors The Company has adopted the Model Code set out in Appendix 10 to the Listing Rules. Having made specific enquiries to all Directors, all Directors have confirmed their compliance with the required standards set out in the Model Code and its code of conduct regarding Directors’ securities transactions throughout the six months ended 30 June 2022.