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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”).

國雙控股公司(包括子公司及合并公司,以下簡稱“公司”)承諾促進高標準的道德商業行為,以及遵循相關法律、法規和條例。作為該承諾的一部分,公司采納舉報和投訴政策(簡稱“政策”)。鼓勵員工使用本政策提供的指導,舉報所有已知和可疑的不當行為。該政策旨在為員工提供保密或匿名的溝通渠道,以舉報任何不當行為。為達到這一政策的目的,公司已指定本公司的首席財務官為首席合規官(簡稱“合規官”)。

I. Reporting Violations

I. 違法行為的舉報

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

員工應向其主管或管理人員舉報任何已知或涉嫌違反以下任何一項的情況:

  • laws, governmental rules and regulations;

  • 法律、政府法規和條例;

  • accounting, internal accounting controls and auditing matters; or

  • 會計準則、內部控制和審計事項,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”).

以上情況包括來自公司外部人士的投訴或舉報。主管和管理人員應及時處理提交給他們的舉報信息,并根據法律、政府法規和制度,采取符合良好的商業慣例的適當的行動。主管和管理人員也應向合規官匯報相關舉報信息,進而由首席合規官向審計委員會的主席(以下簡稱“審計委員會主席”)匯報相關舉報信息。

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:

如果員工不愿意與他們的直屬主管、管理人員或首席合規官討論涉嫌的違規行為,那么員工可以通過以下方式秘密地、匿名地舉報涉嫌違規的行為:

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

  2. 1. 通過致電公司的合規熱線: +86 10 8261 9988 x 8881;

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

  4. 2. 通過寄信致公司總部,并注明“注意:首席合規官”;

  5. 3. By email addressed to [email protected], If you report by email, your report will automatically be directed to the Compliance Officer; or

  6. 3. 通過發送郵件至公司郵箱 [email protected],如果通過此郵箱舉報,你的舉報將自動轉給首席合規官;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: [email protected] 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. 如果你不想通過公司任何員工,而是直接將舉報發送給審計委員會,可以發送郵件致 [email protected] 或者寄信致公司總部,并注明“注意:審計委員會主席”。審計委員會對其收到的舉報采取任何必要的措施,包括是否將被舉報的情況提交給首席合規官進行調查。

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:由于跟進和調查匿名投訴相對困難,我們鼓勵你選擇一個合適的舉報渠道,以便你可以在我們的調查期間提供跟進信息。盡管如此,如果你想匿名舉報,請按照說明操作以確保匿名。

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 [email protected]

由于調查的能力很大程度上取決于信息的質量和特性,任何舉報涉嫌違規行為的員工,均被鼓勵詳盡地提供關于舉報的問題的細節。首席合規官(或其指派人員)將負責審查或監督審查來源于任何渠道的關于涉嫌違法行為的舉報。首席合規官應及時通知發件人并表示確認收到報告,除非該舉報為匿名提交或直接提交給審計委員會。你可以通過郵件地址 [email protected]聯系首席合規官。

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.

如果你希望直接向審計委員會舉報,你可以發送電子郵件至前述郵件地址,或郵寄一封致公司總部的信,注明“注意:審計委員會”。你也可以匿名地秘密舉報。審計委員會對其收到的舉報采取任何必要的措施,包括是否將被舉報的情況提交給首席合規官員進行調查。 

II. Statement of Non Retaliation

II. 無報復聲明

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:

因為舉報人向執法人員提供被舉報人可能違反聯邦,州或外國法律行為的合理可信的真實信息,導致被舉報人故意報復舉報人,則該報復行為不僅違反公司政策,而且在許多司法管轄區為犯罪行為。此外,公司將不允許任何員工、承包商、分包商或公司的代理商對采取了以下任何合法行為的員工采取任何形式的恐嚇或報復,其中合法行為指:

  • 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,引導他人提供信息,或協助調查員工合理且善意推斷的構成違反法律、法規、制度或任何公司政策的行為;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.

  • 訴訟,引導他人訴訟,作證、參與,或以其他方式協助就違反任何法律,政策或法規提起或即將提起的訴訟。

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.

基于員工提交的誠信報告、或合作、協助公司進行調查的合法行為,被禁止的恐嚇或報復形式包括但不限于:解雇、降級、停職、恐嚇、騷擾或者任何其他關于員工就業條款和條件方面的歧視。

III. Statement of Confidentiality

III. 保密聲明

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.

如果員工善意舉報涉嫌違規行為,并沒有從事可疑行為的情況下,公司會將其討論的內容和行為盡可能地保密,并遵守適用的法律法規和有關員工隱私的規定。在此政策下,所有與投訴和舉報相關的內容或記錄均被視為公司機密信息,并且訪問該信息的權限僅限于公司的董事會成員,公司內部和外部的法律顧問,和其他參與調查投訴或舉報的人員。該訪問權限可由首席合規官酌情授予其他方。

IV. Investigation and Record Keeping

IV. 調查和記錄

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.

員工不應該獨立進行調查,而應向上級主管或管理人員提出投訴或舉報,或遵循本政策的相應程序。首席合規官將協調所有舉報的及時調查和解決方案,并確保在必要和適當的情況下采取糾正措施。首席合規官(或被指派人員)認為在合理且必要的情況下,可以對涉嫌違規相關的舉報的所有記錄進行審閱、調查和評估。

IV. Investigation and Record Keeping

IV. 調查和記錄

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.

員工不應該獨立進行調查,而應向上級主管或管理人員提出投訴或舉報,或遵循本政策的相應程序。首席合規官將協調所有舉報的及時調查和解決方案,并確保在必要和適當的情況下采取糾正措施。首席合規官(或被指派人員)認為在合理且必要的情況下,可以對涉嫌違規相關的舉報的所有記錄進行審閱、調查和評估。

V. Retention of Records

V. 記錄保留

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.

首席合規官將維護一個記錄所有投訴和舉報的日志,用于跟蹤相關的收據,調查結果和解決方案。公司將根據本政策保留投訴和舉報的記錄的相關日志,保留期限由首席合規官與公司審計委員會協商確定。 在建立保留期限后,相應的記錄和相關日志將根據公司政策處理。

VI. Reporting to the Audit Committee

VI. 向審計委員會匯報

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.

對于所有涉嫌違規的舉報,首席合規官應向審計委員會做出陳述。在每次會議上,管理層將匯報自上次審計委員會會議以來收到的所有適用舉報及其性質。如果首席合規官,或其指派人員,認定在下一次計劃的審計委員會會議之前匯報是必要或適當的,則首席合規官,或其指派人員,應聯系審計委員會主席,或審計委員會指派人員,決定是否有必要提前進行評估。

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

審計委員會將采取其認為必要的措施來回應公司收到的任何違規舉報。

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.

審計委員會負責審查這項政策,并確認該政策所包含的程序已落實。審計委員會可要求公司管理人員匯報該政策的執行情況,并且,他們認為必要時可采取任何其他措施。公司董事會可以修改與此政策相關的政策和程序。

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