64 Good Corporate Governance Principles and Code of Business Ethics (Edition 2022) 3.4 Securities Trading of Director or Senior Executive To prevent use of insider information to benefit oneself and others, which is undue advantage over other shareholders, EGCO determines principles in case director or senior executive including their spouse and minor child wish to buy or sell the Company’s shares as follow: • It is prohibited for director or employee privy to financial statements information, to buy and/or sell their securities 45 days prior to disclosure date and 24 hours after disclosure. For other information with significant implications, it is prohibited for director or employees who are privy to such information to trade securities from the date of becoming aware of the information, and 24 hours after disclosure. The Corporate Secretary shall circulate e-mail notifying director, executive and employees concerned of the timeframe and security trading prohibition during the blackout period and prior to disclosure of financial statements information. • In case of Directors, SEVPs, EVPs, SVP under the Chief Financial Officer Group, SVP-Investor Relations, SVP-Corporate Communications and Corporate Secretary, plus their spouse, and minor child who wish to buy or sell the Company’s securities must notify the Corporate Secretary of intention to buy or sell the securities at least one day in advance; and must proceed with the securities trading within 7 days after such notification. • Apply risk assessment to every single investment project, using Board-approved risk management. • Organize for risk management reporting and risk management guideline, business continuity plan for subsidiaries and affiliates, with regular review and update. • Determine an internal control policy on risk management activities, and make sure there is regular monitoring of risk management process.
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