空中网员工行为准则和道德规范.docx

1、空中网员工行为准则和道德规范附件HR5-4-1空中网员工行为准则和道德规范空中网公司（以下简称“公司”）董事会已经采纳了本道德规范（以下简称“规范”），以便： 促进诚信和道德管理，包括公平交易和对利益冲突的道德控制。 促进全面、公平、准确、及时和可理解的披露。 促进对于可适用的法律及政府规范、规章的遵守。 确保对公司合法商业利益的保护，包括公司机遇、资产和保密信息，以及 阻止不正当的行为。公司所有的董事、管理人员和职员都要求熟悉本规范，并且遵从本规范中设定的适用于他们的原则和程序。基于本规范的目的，“道德规范联系人”对于不同的职员将会有所不同。对于并非管理人员的公司职员而言，道德规范联系人是杨

2、宁；对于公司的管理人员而言，道德规范联系人是孙含晖。 杨宁和 孙含晖 都在中国北京西直门外大街168号腾达大厦35层，邮编100044。公司有时可能会摒弃本规范中的一些规定。对于本规范中针对公司管理人员或董事部分的任何规定的摒弃只能由董事会做出决定，并且必须依照证券交易委员会或者纳斯达克的规则进行披露。对于本规范中规制公司其他职员部分的规定的摒弃，仅由公司首席执行官（董事长）做出决定。一、诚实、公正的管理每一位董事、管理人员和职员对公司都有行为正直的职责。在所有其他事项中，正直必须诚信和公正。欺骗和无原则都是有悖于正直的。每一位董事、管理人员和职员都必须做到： 在公司政策要求或者与公司政策相符

3、的信息保密的状态下，正直（包括诚信和公正）地行动； 遵守法律、政府规章制度、会计准则和公司政策的规定和精神； 坚持高标准的商业道德。二、利益冲突“利益冲突”发生在个人利益与公司利益冲突或者看似冲突的时候。当一位董事、管理人员或者职员采取行动或者有致使其客观、有效的开展公司工作为难的利益时，利益冲突就产生了。例如，如果一位董事、管理人员或职员或其家庭成员因为其在公司的职位而接受了不适宜的个人利益，利益冲突就会产生。任何依据常理判断可能产生利益冲突的实质性交易或关系，都应该与指定的道德规范联系人商讨。对于公司的服务，绝对不能服从于个人的获得和利益。无论在什么可能的情况下，利益冲突都应该避免。特别是

4、，当利益冲突涉及到下列董事、管理人员或者其他有着监管职位或者拥有与第三方交易时的自由决定权的职员： 任何对于供应商或顾客有重大的所有权利益者； 任何与顾客、供应商或竞争者有顾问或者雇佣关系者； 任何有从个人对公司应该投入的时间和精力中转移出的外部商业行为者； 有从现在或者预期有商业交易的公司接受莫名礼物或者额外款待者； 在监管、检查或者对于工作评估、工资或者任何近亲属的利益有影响的岗位上者；以及， 除非在同等条件和情形下董事、管理人员或者职员经允许之外，任何与公司之间有买卖行为者。如果是实质上的，以上这些情形应该都要与道德规范联系人商讨。任何将会在董事、管理人员或者职员身上产生冲突的事情，可能

5、将会同样牵涉到他们有关的家庭成员。三、披露任何牵涉到公司披露程序的董事、管理人员或职员，包括首席执行官、首席财务官和高级财务官员，都要求在其责任范围的限度内熟悉并且遵守公司的披露管理和程序以及对于财务报告的内部控制，包括在所有实质性方面遵从联邦证券法和证券交易委员会的规则并且在证券交易委员会存档的公开报告和文件。此外，每一位对于这些证券交易委员会的文档或公司的其他有关一般商事、结果、财务状况以及前景的公开通信有直接或监管权力的有关的人员，都应该在其职责范围的限度内，与公司其他的管理人员和职员商量并且采取其他适当的披露措施，以达到完整、公正、准确、及时和可理解的披露之目的。每一位牵涉到公司披露程

6、序的董事、管理人员和职员，包括高级财务官员，都必须： 让自己熟悉对公司适用的披露要求以及公司的商业和财务运作。 无论是在公司内外，不能有意的对他人误传或者导致他人误传公司的实情，包括对公司独立的审计员、政府管理人员和自治机构。 为了精确性和完整性，对于被提议的披露进行适当的审查和审慎的分析（或者，在适当的时候，将这个任务委派给其他人）。4遵守遵守所有可适用的法律、法规及规范是公司的政策。遵守这些法律、法规规定的相关标准和限制性规定是每个公司的员工、管理人员、董事的个人义务。公司的董事、管理人员或者员工通过本公司或者其他任何公司尚未披露的相关信息而谋取利益的，不仅是违反公司政策并且在很多情况下属

7、于违法行为。所有公司的董事、管理人员、员工在掌握与公司相关的非公开的重要信息时，不能购买或者出售任何本公司的证券。同样，董事、主管、员工在掌握与其他任何公司相关的非公开的重要信息时，不能购买或者出售该公司的证券。公司的任何董事、管理人员、员工对涉及购买、出售本公司证券或者因为本公司工作而熟知的其他公司的证券的法律规定存在疑问的，应该在购买或者出售前，向公司的证券法律顾问咨询。5报告及责任审计委员会负责在任何对本准则有争议的特殊情况下适用本准则并且在任何特殊场合有权解释本准则。一旦意识到任何已经存在或者潜在的违反本准则的行为，公司的董事、管理人员、员工均须及时报告道德规范联系人，否则即是违反此项

8、规定的行为。凡涉及与本准则相关的解释或者适用的问题，应该由道德规范联系人处理。对某一情况不能确定是否违反本准则的董事、管理人员、员工应该与道德规范联系人就该情况进行讨论，以避免可能出现的误解及日后的障碍。所有公司的董事、管理人员、员工必须： 及时报告道德规范联系人任何已经存在或者潜在的违反本准则的行为。 不得对任何基于善意而报告潜在的违规行为的任何董事、管理人员、员工进行报复。审计委员会应采取其认为适合的所有措施，调查所有报告给审计委员会的违规行为。如果一个违规行为出现，在与审计委员会讨论之后，就某一董事或者行政管理人员，公司将采取与其相适应的惩罚性或者预防性措施。在同时有违规行为发生之后，董

9、事会将采取其认为适当的惩罚性或者预防性措施，包括解雇，或者在有犯罪及其他严重违法的情况时，通告相应的政府权力机关。6公司机遇公司的员工、管理人员、董事、对公司负有在适当时机出现时发展公司业务利益的义务。公司的员工、管理人员、董事禁止为自己或者第三人利用通过使用公司财产、信息或者职位而发现的业务机会，除非公司已经被提供该机会并已将其拒绝。也即是说，公司的员工、管理人员、董事禁止利用公司财产、信息或者职位为个人谋利或者与公司开展竞争。有时个人利益与公司利益之间的界限很难划分，而且有时在某些特殊活动中，个人利益与公司利益是并存的。当公司的员工、管理人员、董事欲通过某种方式，并非仅为了公司利益而利用公

10、司财产或者服务时，应该事先与道德规范联系人协商。7保密在从事公司业务时，员工、管理人员、董事经常会获知机密信息或者有关公司、公司的顾客、供应商、合资方的私人信息。除经过授权或者法律命令方可进行信息披露之外，员工、管理人员、董事必须保持所有委托给他们的信息的机密性。本公司及其他公司的机密信息或者私人信息包括，任何可能对相关公司造成损害、或者一旦公开会对竞争者有利用价值或者有帮助的非公开信息。8公平交易我们拥有通过诚实信用的商业竞争而成功的历史。我们不通过非法或者不道德的商业手段获得竞争优势。每个员工、管理人员、董事均应竭尽全力与公司的顾客、服务提供商、供应商、竞争对手及其员工进行公平交易。任何员

11、工、管理人员、董事均不应通过操纵、隐瞒、滥用职权信息、误传重要事实或任何其他不公平的交易手段，从任何人处获取不正当的利益。9公司资产的保护及合理使用所有员工、管理人员、董事均应保护公司资产并确保该资产被有效利用。公司全部资产只能是为了合法的商业目的而被使用。KONGZHONG CORPORATIONCODE OF BUSINESS CONDUCT AND ETHICSThe Board of Directors of KongZhong Corporation (with its subsidiaries, the “Company”) has adopted this code of eth

12、ics (this “Code”) to: promote honest and ethical conduct, including fair dealing and the ethical handling of conflicts of interest; promote full, fair, accurate, timely and understandable disclosure; promote compliance with applicable laws and governmental rules and regulations; ensure the protectio

13、n of the Companys legitimate business interests, including corporate opportunities, assets and confidential information; and deter wrongdoing.All directors, officers and employees of the Company are expected to be familiar with the Code and to adhere to those principles and procedures set forth in t

14、he Code which apply to them.For purposes of this Code, the “Code of Ethics Contact Person” will be different for various employees. The Code of Ethics Contact Person for employees other then the executive officers of the Company is Nick Yang and the Code of Ethics Contact Person for executive office

15、rs of the Company is Sun Hanhui. Both Nick Yang and Sun Hanhui have address at 35/F, Tengda Plaza, No.168 Xiwai Street, Haidian District, Beijing, China 100044. From time to time, the Company may waive some provisions of this Code. Any waiver of the Code for executive officers or directors of the Co

16、mpany may be made only by the Board of Directors and must be disclosed as required by SEC or Nasdaq rules. Any waiver for other employees may be made only by the Companys Chief Executive Officer or President.I. Honest and Candid ConductEach director, officer and employee owes a duty to the Company t

17、o act with integrity. Integrity requires, among other things, being honest and candid. Deceit and subordination of principle are inconsistent with integrity.Each director, officer and employee must: Act with integrity, including being honest and candid while still maintaining the confidentiality of

18、information where required or consistent with the Companys policies. Observe both the form and spirit of laws and governmental rules and regulations, accounting standards and Company policies. Adhere to a high standard of business ethics.II. Conflicts of InterestA “conflict of interest” occurs when

19、an individuals private interest interferes or appears to interfere with the interests of the Company. A conflict of interest can arise when a director, officer or employee takes actions or has interests that may make it difficult to perform his or her Company work objectively and effectively. For ex

20、ample, a conflict of interest would arise if a director, officer or employee, or a member or his or her family, receives improper personal benefits as a result of his or her position in the Company. Any material transaction or relationship that could reasonably be expected to give rise to a conflict

21、 of interest should be discussed with the Code of Ethics Contact Person.Service to the Company should never be subordinated to personal gain and advantage. Conflicts of interest should, wherever possible, be avoided.In particular, clear conflict of interest situations involving directors, executive

22、officers and other employees who occupy supervisory positions or who have discretionary authority in dealing with any third party specified below may include the following: any significant ownership interest in any supplier or customer; any consulting or employment relationship with any customer, su

23、pplier or competitor; any outside business activity that detracts from an individuals ability to devote appropriate time and attention to his or her responsibilities with the Company; the receipt of non-nominal gifts or excessive entertainment from any company with which the Company has current or p

24、rospective business dealings; being in the position of supervising, reviewing or having any influence on the job evaluation, pay or benefit of any immediate family member; and selling anything to the Company or buying anything from the Company, except on the same terms and conditions as comparable d

25、irectors, officers or employees are permitted to so purchase or sell.Such situations, if material, should always be discussed with the Code of Ethics Contact Person.Anything that would present a conflict for a director, officer or employee would likely also present a conflict if it is related to a m

26、ember of his or her family.III. DisclosureEach director, officer or employee involved in the Companys disclosure process, including the Chief Executive Officer, the Chief Financial Officer and the Controller (the “Senior Financial Officers”), is required to be familiar with and comply with the Compa

27、nys disclosure controls and procedures and internal control over financial reporting, to the extent relevant to his or her area of responsibility, so that the Companys public reports and documents filed with the SEC comply in all material respects with the applicable federal securities laws and SEC

28、rules. In addition, each such person having direct or supervisory authority regarding these SEC filings or the Companys other public communications concerning its general business, results, financial condition and prospects should, to the extent appropriate within his or her area of responsibility,

29、consult with other Company officers and employees and take other appropriate steps regarding these disclosures with the goal of making full, fair, accurate, timely and understandable disclosure. Each director, officer or employee who is involved in the Companys disclosure process, including without

30、limitation the Senior Financial Officers, must: Familiarize himself or herself with the disclosure requirements applicable to the Company as well as the business and financial operations of the Company. Not knowingly misrepresent, or cause others to misrepresent, facts about the Company to others, w

31、hether within or outside the Company, including to the Companys independent auditors, governmental regulators and self-regulatory organizations. Properly review and critically analyze proposed disclosure for accuracy and completeness (or, where appropriate, delegate this task to others).IV. Complian

32、ce It is the Companys policy to comply with all applicable laws, rules and regulations. It is the personal responsibility of each employee, officer and director to adhere to the standards and restrictions imposed by those laws, rules and regulations.It is against company policy and in many circumstances ill