English

Gridsum Holding Inc. (collectively with its subsidiaries and consolidated affiliated entities, “Company”) is committed to promoting high standards of ethical business conduct and compliance with applicable laws, rules and regulations.  As part of this commitment, the Company has adopted this Whistleblower and Complaint Policy (“Policy”).  Employees are encouraged to use the guidance provided by this Policy to report all known and suspected improper activities.  This Policy is designed to provide employees with a confidential or anonymous avenue of communication for reporting any improper activities.  For purposes of this Policy, the Company has designated the Company’s Chief Financial Officer as its Compliance Officer (“Compliance Officer”).

亚游集团控股公司(包括子公司及合并公司,以下简称“公司”)承诺促进高标准的道德商业行为,以及遵循相关法律、法规和条例。作为该承诺的一部分,公司采纳举报和投诉政策(简称“政策”)。鼓励员工使用本政策提供的指导,举报所有已知和可疑的不当行为。该政策旨在为员工提供保密或匿名的沟通渠道,以举报任何不当行为。为达到这一政策的目的,公司已指定本公司的首席财务官为首席合规官(简称“合规官”)。

I. Reporting Violations

I. 违法行为的举报

Employees should report to their supervisors or managers any known or suspected violations of:

员工应向其主管或管理人员举报任何已知或涉嫌违反以下任何一项的情况:

  • laws, governmental rules and regulations;

  • 法律、政府法规和条例;

  • accounting, internal accounting controls and auditing matters; or

  • 会计准则、内部控制和审计事项,或者;

  • any Company policies.

  • 任何公司政策。

This includes complaints or reports received from persons outside the Company.  Supervisors and managers shall promptly consider the information submitted to them and take appropriate action in accordance with the law, governmental rules and regulations and otherwise consistent with good business practice.  Supervisors and managers shall also provide any such information to the Compliance Officer, who shall then provide it to the chairperson of the Audit Committee (“Audit Committee Chair”).

以上情况包括来自公司外部人士的投诉或举报。主管和管理人员应及时处理提交给他们的举报信息,并根据法律、政府法规和制度,采取符合良好的商业惯例的适当的行动。主管和管理人员也应向合规官汇报相关举报信息,进而由首席合规官向审计委员会的主席(以下简称“审计委员会主席”)汇报相关举报信息。

If an employee is not comfortable discussing the suspected violation with any of their direct supervisors or managers or the Compliance Officer, the employee may report the suspected violation confidentially and anonymously by any of the following means:

如果员工不愿意与他们的直属主管、管理人员或首席合规官讨论涉嫌的违规行为,那么员工可以通过以下方式秘密地、匿名地举报涉嫌违规的行为:

  1. 1. By calling the Company’s compliance hotline: +86 10 8261 9988 x 8881;

  2. 1. 通过致电公司的合规热线: +86 10 8261 9988 x 8881;

  3. 2. By letter addressed to the Company’s corporate headquarters marked “Attention:  Compliance Officer”;

  4. 2. 通过寄信致公司总部,并注明“注意:首席合规官”;

  5. 3. By email addressed to compliance@gridsum.com, If you report by email, your report will automatically be directed to the Compliance Officer; or

  6. 3. 通过发送邮件至公司邮箱 compliance@gridsum.com,如果通过此邮箱举报,你的举报将自动转给首席合规官;或者

  7. 4. If you wish to make a report that does not go to any employee or officer of the Company but rather goes directly to the Audit Committee, you may send an email to: audit-chair@gridsum.com or you may send a letter addressed to the Company’s corporate headquarters marked “Attention:  Audit Committee Chair.”  The Audit Committee will take whatever steps it deems necessary to respond to a report that it receives, including whether to refer the matter to the Compliance Officer for investigation.

  8. 4. 如果你不想通过公司任何员工,而是直接将举报发送给审计委员会,可以发送邮件致 audit-chair@gridsum.com 或者寄信致公司总部,并注明“注意:审计委员会主席”。审计委员会对其收到的举报采取任何必要的措施,包括是否将被举报的情况提交给首席合规官进行调查。

Note: Since it is more difficult to follow up and investigate anonymous complaints, we want to encourage you to select a reporting avenue that is comfortable for you so that you can be available to provide follow up information during our investigation.  Nonetheless, if you wish to report anonymously, please follow the instructions to ensure your anonymity is maintained.

注意:由于跟进和调查匿名投诉相对困难,我们鼓励你选择一个合适的举报渠道,以便你可以在我们的调查期间提供跟进信息。尽管如此,如果你想匿名举报,请按照说明操作以确保匿名。

Any employee reporting a suspected violation is encouraged to provide as much detail as possible regarding the subject matter of the complaint or concern, since the ability to investigate will be largely dependent on the quality and specificity of the information.  The Compliance Officer (or his or her designees) will be responsible for reviewing, or overseeing the review, of any report of a suspected violation from any source.  The Compliance Officer will promptly notify the sender and acknowledge receipt of the report, unless the report was submitted anonymously or directly to the Audit Committee. The Compliance Officer can be reached at compliance@gridsum.com.

由于调查的能力很大程度上取决于信息的质量和特性,任何举报涉嫌违规行为的员工,均被鼓励详尽地提供关于举报的问题的细节。首席合规官(或其指派人员)将负责审查或监督审查来源于任何渠道的关于涉嫌违法行为的举报。首席合规官应及时通知发件人并表示确认收到报告,除非该举报为匿名提交或直接提交给审计委员会。你可以通过邮件地址 compliance@gridsum.com联系首席合规官。

If you wish to report directly to the Audit Committee, you may send an email, as described earlier in this Policy, or, you may send a letter addressed to the Company’s corporate headquarters marked “Attention:  Audit Committee.”  You may report confidentially and anonymously if you wish.  The Audit Committee will take whatever steps it deems necessary to respond to a report that it receives, including whether to refer the matter to the Compliance Officer for investigation.

如果你希望直接向审计委员会举报,你可以发送电子邮件至前述邮件地址,或邮寄一封致公司总部的信,注明“注意:审计委员会”。你也可以匿名地秘密举报。审计委员会对其收到的举报采取任何必要的措施,包括是否将被举报的情况提交给首席合规官员进行调查。 

II. Statement of Non Retaliation

II. 无报复声明

It is against Company policy and, in many jurisdictions, a crime for anyone to intentionally retaliate against any person who provides truthful information to a law enforcement official concerning such person’s reasonable good faith belief that a possible violation of any federal, state or foreign law has occurred.  Moreover, the Company will not permit any form of intimidation or retaliation by any employee, contractor, subcontractor or agent of the Company against any employee because of any lawful act done by the employee to:

因为举报人向执法人员提供被举报人可能违反联邦,州或外国法律行为的合理可信的真实信息,导致被举报人故意报复举报人,则该报复行为不仅违反公司政策,而且在许多司法管辖区为犯罪行为。此外,公司将不允许任何员工、承包商、分包商或公司的代理商对采取了以下任何合法行为的员工采取任何形式的恐吓或报复,其中合法行为指:

  • provide information, cause information to be provided, or otherwise assist in an investigation regarding any conduct which the employee reasonably and in good faith believes constitutes a violation of laws, rules, regulations or any Company policies; or

  • 提供信息,引导他人提供信息,或协助调查员工合理且善意推断的构成违反法律、法规、制度或任何公司政策的行为;或

  • file, cause to be filed, testify, participate in, or otherwise assist in a proceeding filed or about to be filed relating to a violation of any law, rule or regulation.

  • 诉讼,引导他人诉讼,作证、参与,或以其他方式协助就违反任何法律,政策或法规提起或即将提起的诉讼。

The prohibited forms of intimidation or retaliation include, but are not limited to, discharge, demotion, suspension, threats, harassment or any other manner of discrimination with respect to an employee’s terms or conditions of employment based on lawful actions of such employee with respect to a good faith report or cooperation or assistance with an investigation conducted by the Company.

基于员工提交的诚信报告、或合作、协助公司进行调查的合法行为,被禁止的恐吓或报复形式包括但不限于:解雇、降级、停职、恐吓、骚扰或者任何其他关于员工就业条款和条件方面的歧视。

III. Statement of Confidentiality

III. 保密声明

In cases in which an employee reports a suspected violation in good faith and is not engaged in the questionable conduct, the Company will attempt to keep its discussions and actions confidential to the greatest extent possible and in compliance with applicable laws and regulations governing employee privacy. All reports and records associated with complaints or reports made under this Policy are considered Company confidential information and access will be restricted to members of the Board of Directors of the Company, the Company’s internal and external legal counsel, and others involved in investigating a complaint or report under this Policy.  Access to reports and records may be granted to other parties at the discretion of the Compliance Officer.

如果员工善意举报涉嫌违规行为,并没有从事可疑行为的情况下,公司会将其讨论的内容和行为尽可能地保密,并遵守适用的法律法规和有关员工隐私的规定。在此政策下,所有与投诉和举报相关的内容或记录均被视为公司机密信息,并且访问该信息的权限仅限于公司的董事会成员,公司内部和外部的法律顾问,和其他参与调查投诉或举报的人员。该访问权限可由首席合规官酌情授予其他方。

IV. Investigation and Record Keeping

IV. 调查和记录

Employees should not independently conduct their own investigation but instead should make their complaint or report to their supervisor or manager, or by following the procedures in this Policy.; The Compliance Officer will coordinate the prompt investigation and resolution of all reports and ensure that corrective action, as necessary and appropriate, is taken. All records of the report of a suspected violation will be reviewed, investigated and evaluated by the Compliance Officer (or his or her designee) as he or she deems reasonably necessary.

员工不应该独立进行调查,而应向上级主管或管理人员提出投诉或举报,或遵循本政策的相应程序。首席合规官将协调所有举报的及时调查和解决方案,并确保在必要和适当的情况下采取纠正措施。首席合规官(或被指派人员)认为在合理且必要的情况下,可以对涉嫌违规相关的举报的所有记录进行审阅、调查和评估。

IV. Investigation and Record Keeping

IV. 调查和记录

Employees should not independently conduct their own investigation but instead should make their complaint or report to their supervisor or manager, or by following the procedures in this Policy. The Compliance Officer will coordinate the prompt investigation and resolution of all reports and ensure that corrective action, as necessary and appropriate, is taken. All records of the report of a suspected violation will be reviewed, investigated and evaluated by the Compliance Officer (or his or her designee) as he or she deems reasonably necessary.

员工不应该独立进行调查,而应向上级主管或管理人员提出投诉或举报,或遵循本政策的相应程序。首席合规官将协调所有举报的及时调查和解决方案,并确保在必要和适当的情况下采取纠正措施。首席合规官(或被指派人员)认为在合理且必要的情况下,可以对涉嫌违规相关的举报的所有记录进行审阅、调查和评估。

V. Retention of Records

V. 记录保留

The Compliance Officer will maintain a log of all complaints and reports, tracking their receipt, investigation and resolution.  The Company will preserve records of complaints and reports made under this Policy and associated log(s) for a period of time to be determined by the Compliance Officer in consultation with the Company’s Audit Committee.  After the established retention period, the records and associated log(s) may be disposed of in accordance with Company policy.

首席合规官将维护一个记录所有投诉和举报的日志,用于跟踪相关的收据,调查结果和解决方案。公司将根据本政策保留投诉和举报的记录的相关日志,保留期限由首席合规官与公司审计委员会协商确定。 在建立保留期限后,相应的记录和相关日志将根据公司政策处理。

VI. Reporting to the Audit Committee

VI. 向审计委员会汇报

With respect to all reports of suspected violations, the Compliance Officer shall make a presentation to the Audit Committee.  At each such meeting, management will report on the nature of all applicable reports received since the prior Audit Committee meeting.  If the Compliance Officer, or his or her designee, determines that reporting prior to the next scheduled Audit Committee meeting is necessary or appropriate, the Compliance Officer or his or her designee shall contact the Audit Committee Chair, or such other person designated by the Audit Committee, to decide whether an earlier evaluation is warranted.

对于所有涉嫌违规的举报,首席合规官应向审计委员会做出陈述。在每次会议上,管理层将汇报自上次审计委员会会议以来收到的所有适用举报及其性质。如果首席合规官,或其指派人员,认定在下一次计划的审计委员会会议之前汇报是必要或适当的,则首席合规官,或其指派人员,应联系审计委员会主席,或审计委员会指派人员,决定是否有必要提前进行评估。

The Audit Committee will take whatever steps it deems necessary to respond to any violation report received by the Company.

审计委员会将采取其认为必要的措施来回应公司收到的任何违规举报。

VII. Policy Administration

VII. 政策管理

The Audit Committee is responsible for reviewing this Policy and confirming that the procedures contained in this Policy are in place.  The Audit Committee may request reports from Company executives about the implementation of this Policy and take any other steps in connection with that implementation as they deem necessary.  The Board of Directors of the Company may amend this Policy and procedures associated with this Policy.

审计委员会负责审查这项政策,并确认该政策所包含的程序已落实。审计委员会可要求公司管理人员汇报该政策的执行情况,并且,他们认为必要时可采取任何其他措施。公司董事会可以修改与此政策相关的政策和程序。