Compliance Management


KOSCO Group
KOSCO HOLDINGS

Legal Team and Compliance Management


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1. Overview of the Legal Team

The KOSCO GROUP Legal Team aims to proactively prevent legal risks and effectively respond to legal disputes to ensure corporate sustainability. The legal team performs various tasks, including legal advisory, contract review, litigation and dispute resolution, and compliance management, ensuring the overall legal security of the group.

2. Legal Team Structure
To maximize expertise, the legal team is subdivided into the following areas:

1) Chief Legal Officer (CLO)
  1. Oversees the entire legal team and provides legal advice to executives and the board of directors
  2. Analyzes legal risks of the group and formulates strategic countermeasures
  3. Monitors domestic and international legal and regulatory changes and develops response strategies

2) Contract & Legal Advisory Division
  1. Reviews major contracts of the group and evaluates legal feasibility
  2. Provides legal advice in accordance with domestic and international regulations
  3. Develops internal policies to prevent legal risks
  4. Supports legal aspects of mergers and acquisitions (M&A) and intellectual property (IP) management

3) Litigation & Dispute Resolution Division
  1. Develops strategies and responds to domestic and international litigation
  2. Handles arbitration and mediation procedures
  3. Manages regulatory agency responses and legal compliance issues
  4. Protects the legal rights of the group and operates dispute minimization strategies

4) Compliance & Ethical Management Division
  1. Establishes and operates the group's compliance management system
  2. Develops and implements anti-corruption and ethical management policies (ISO 37001 certification management)
  3. Conducts internal audits and regulatory compliance tasks
  4. Operates and educates the corporate whistleblowing system
5) Intellectual Property (IP) & Regulatory Compliance Division
  1. Protects and manages the group's intellectual property, including patents, trademarks, and copyrights
  2. Develops legal protection strategies for technologies and products
  3. Manages and operates global IP strategies
  4. Monitors legal compliance with country-specific regulations and manages legal risks

3. Key Areas of Work

1) Contract Management & Legal Advisory
  1. Reviews domestic and international legal matters and analyzes legal risks
  2. Evaluates legal risks and supports negotiations before contract execution
  3. Provides legal guidelines for business operations
  4. Collaborates with business units to resolve legal issues

2) Litigation & Legal Dispute Resolution
  1. Manages corporate litigation and arbitration cases
  2. Formulates strategic responses and solutions for legal disputes
  3. Works with external law firms and legal experts to ensure effective legal responses
  4. Prevents and manages major legal risks

3) Compliance & Internal Regulatory Management
  1. Establishes and operates the Compliance Management System (CMS)
  2. Develops and implements a regulatory framework to ensure global legal compliance
  3. Manages the Anti-Bribery Management System (ISO 37001) and enforces anti-corruption policies
  4. Conducts internal audits and legal risk assessments
  5. Provides compliance and ethics training for all employees

4) Intellectual Property Protection & Management
  1. Protects the group's intellectual property, including patents, trademarks, and copyrights
  2. Develops legal protection strategies for technology and products
  3. Manages and operates global IP strategies

4. Compliance Management System

1) Operation of ISO 37301 Compliance Management System
  1. Maintains certification for the compliance management system established by the International Organization for Standardization (ISO)
  2. Continuously reviews and updates internal regulations and policies
  3. Operates pre-audit and monitoring systems to prevent regulatory violations

2) Whistleblowing System & Ethical Management
  1. Operates and enhances the whistleblowing system with protection measures
  2. Implements and maintains ethical guidelines and a Code of Conduct
  3. Conducts regular anti-corruption and ethical management training for employees

3) Risk Management & Internal Audit
  1. Identifies and proactively addresses legal risks
  2. Conducts regular internal audits and regulatory compliance checks
  3. Ensures prompt responses and corrective actions for legal risk occurrences

5. Legal Team Achievements & Certifications
  1. Acquired ISO 37301 (Compliance Management System) and ISO 37001 (Anti-Bribery Management System) certifications
  2. Successfully protected the group’s interests in major legal disputes
  3. Strengthened internal compliance systems and expanded global regulatory adherence

6. Collaboration with the Legal Team
  1. Strengthens legal support through close collaboration with internal departments
  2. Works with external legal experts and law firms to establish legal response systems
  3. Provides real-time legal advisory to mitigate risks


This legal and compliance management framework is a core foundation for KOSCO GROUP’s sustainable growth and global competitiveness.