POLITICA DE RAPORTARE A RIVIUM Rivium ... - Moldova Centermoldovacenter.ro/doc.pdf1 RIVIUM’S WHISTLEBLOWER POLICY POLITICA DE RAPORTARE A RIVIUM Rivium Galeria Mall SRL, 1 Palat

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RIVIUM’S WHISTLEBLOWER POLICY POLITICA DE RAPORTARE A RIVIUM

Rivium Galeria Mall SRL, 1 Palat Street, 5th Floor, Room No. 6, Iasi, Romania, registered with the Iasi Register of Commerce under No. J22/210/2007 (“Rivium”) is the owner and operator of the Moldova Business Center.

Rivium Galeria Mall S.R.L., Str. Palat nr. 1, et. 5, camera nr. 6, Iași, România, înregistrată la Registrul Comerțului Iași sub nr. J22/210/2007 („Rivium”) este proprietarul si managerul Centrului Comercial Moldova;

Rivium encourages any person, without restriction, to submit a “Report” regarding any violation or suspected violation of the principles enshrined in Rivium’s Codes, Policies, internal rules and procedures (altogether the “Rivium Regulations”) that may give rise to financial or reputational risk or damage to Rivium or any of its stakeholders. The Report must be filed with either Rivium’s director or external auditor.

Rivium incurajeaza orice persoana, fara restrictii, sa inainteze un „Raport” referitor la orice incalcare sau presupusa incalcare a principiilor consfintite in Codurile, Politicile, normele si procedurile interne ale Rivium (impreuna „Regulamentele Rivium”) care pot determina un prejudiciu sau risc financiar sau reputational pentru Rivium sau pentru oricare dintre asociatii Rivium. Raportul trebuie inaintat fie administratorului fie auditorului extern al Rivium.

The Whistleblower Policy shall not prevent compliance with any statutory obligations under the laws and regulations of Romania, especially pursuant to Law 31/1990 as amended.

Politica de Raportare nu modifica eventualele obligatii legale conform legilor si regulamentelor din Romania, in special conform Legii 31/1990, cu modificarile ulterioare.

Rivium conducts its operations in accordance with the principles set out herein in the belief that responsible behaviour and leadership is required for success in the greater business community.

Rivium isi desfasoara activitatile in conformitate cu principiile din prezentul document, cu convingerea ca managementul si comportamentul responsabil sunt necesare pentru succesul intr-o mai mare comunitate de afaceri.

No business relations will be initiated or continued by Rivium with any person who does not intend to respect these principles.

Nicio relatie de afaceri nu va fi inceputa sau continuata de catre Rivium cu o persoana care nu intentioneaza sa respecte aceste principii.

This document applies broadly to all directors, managers, employees and auditors of Rivium, and to all those natural and legal persons who have business relations with Rivium including the Moldova Business Center (the “Recipients”).

Prezentul document se aplica in sens larg tuturor administratorilor, directorilor, angajatilor si auditorilor Rivium si tuturor persoanelor fizice si juridice care au relatii comerciale cu Rivium, inclusiv Centrul Comercial Moldova („Destinatarii”).

All Recipients are obligated to comply with the principles embodied in this document or explain in writing in a manner satisfactory to Rivium why they cannot do so. Otherwise, a breach of these principles by any Recipient may lead to disciplinary measures as provided in the

Toti Destinatarii sunt obligati sa respecte principiile consfintite in prezentul document sau sa explice in scris intr-un mod satisfacator pentru Rivium contrariul. Altfel, o incalcare a acestor principii de catre orice Destinatar poate conduce la aplicarea masurilor disciplinare astfel cum


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offender’s employment agreement or commercial contract, including termination thereof.

prevede contractul de munca sau contractul commercial al acestora, inclusiv la reziliere.

1. Content of a Report 1. Continutul unui Raport

(a) A Report may be made regarding directors, managers, employees and auditors of Rivium and, in general, anyone who works for or on behalf of Rivium inside and outside Romania or has business relations with Rivium, including independent audit companies, customers, suppliers, consultants, contractors and public institutions.

(a) Un Raport se poate referi la administratori, directori, angajati si auditori ai Rivium si, in general, la orice persoana care care lucreaza pentru sau in numele Rivium, in Romania si in exterior, sau care are relatii de afaceri cu Rivium, inclusiv societati independente de audit, clienti, furnizori, consultanti, contractanti si institutii publice.

(b) A Report may be made anonymously. However, Rivium recommends that reports be submitted with the name of the whistleblower to support an adequate investigation and to protect the whistleblower against retaliation.

(b) Un Raport poate fi facut sub forma anonima. Rivium recomanda totusi ca rapoartele inaintate sa contina numele persoanei respective, pentru a permite o cercetare adecvata si pentru a proteja respectiva persoana importiva represaliilor.

(c) A Report must contain all the appropriate information required to allow its content and accuracy to be independently verified.

(c) Un Raport trebuie sa furnizeze toate informatiile oportune pentru a permite o verificare independenta a continutului si acuratetei acestuia.

2. Confidentiality and Non-Retaliation 2. Confidentialitate si Interzicerea Represaliilor

(a) No one may be fired, suspended or discriminated against in any way as a consequence of having submitted a Report in good faith concerning a violation of Rivium Regulations.

(a) Nimeni nu poate fi concediat, suspendat sau discriminat, in niciun fel, ca o consecinta a transmiterii cu buna-credinta a unui Raport cu privire la incalcarea Regulamentelor Rivium.

(b) Rivium will not tolerate threats or reprisals of any kind against a whistleblower or persons who collaborated with the investigations to establish the veracity of a Report.

(b) Rivium nu va tolera amenintari sau represalii de niciun fel indreptate impotriva acestor persoane sau a celor care au colaborat pe parcursul cercetarilor in vederea stabilirii veridicitatii unui Raport.

(c) Rivium guarantees the anonymity of whistleblowers and reserves the right to adopt all appropriate actions against whosoever engages in acts of reprisal in respect of whistleblowers within the scope of this Policy.

(c) Rivium garanteaza anonimatul acestor persoane si isi rezerva dreptul de a adopta toate actiunile necesare impotriva celor care se angajeaza in actiuni de represalii indreptate impotriva persoanelor care au inaintat rapoarte in cadrul acestei Politici.

(d) Disciplinary actions to protect Rivium may be adopted in the event of a whistleblower’s abuse of this Policy such as reports made in bad faith or for the sole purpose of

(d) Pot fi luate masuri disciplinare de protejare a Rivium in cazul in care persoanele care inainteaza astfel de rapoarte abuzeaza de aceasta Politica, precum rapoarte facute cu


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damaging the reported person or other persons who are prejudiced in any way by the Report.

rea-credinta sau cu scopul de a aduce un prejudiciu persoanei ce face obiectul raportului sau altor persoane care sunt prejudiciate in orice mod de Raport.

3. Investigation of Report Content 3. Activitati de Verificare a Continutului Raportului

(a) The actions taken to ascertain the veracity of the content of a Report will be performed under the joint control of Rivium’s senior management and external auditor in compliance with principles of impartiality and confidentiality, taking all actions deemed to be appropriate.

(a) Actiunile de verificare a veridicitatii continutului Raportului vor fi realizate sub controlul comun al managementului superior al Rivium si al auditorului extern in conformitate cu principiile de impartialitate si confidentialitate, efectuând orice activitate considerata necesara.

(b) Upon conclusion of the investigation, if the Report is found to be valid, Rivium’s senior management and external auditor will adopt appropriate disciplinary measures and actions to protect Rivium and its stakeholders.

(b) Dupa finalizarea verificarii, daca se stabileste ca Raportul este fondat, managementul superior al Rivium si auditorul extern vor aplica masuri disciplinare corespunzatoare si vor intreprinde actiuni pentru a proteja Rivium si asociatii Rivium.

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RIVIUM’S POLICY FOR OCCUPATIONAL HEALTH, SAFETY AND RIGHTS, AND ENVIRONMENT

POLITICA RIVIUM PENTRU SECURITATE SI SANATATE LA LOCUL MUNCA, DREPTUL

MUNCII, MEDIU



Rivium considers protection of the integrity, health and welfare of its employees and the environment as one of the primary needs to be satisfied in organising and developing its activities.

Rivium considera protectia integritatii, a sanatatii si a bunastarii propriilor angajati si a mediului elemente primare si fundamentale in cursul exercitiului si in desfasurarea activitatii.

Rivium’s activities are governed by Rivium’s Core Ethical Values and comply with the Sustainability Model envisaged in the United Nations Global Compact that was signed in 2004.

Activitatile Rivium sunt guvernate de Valorile Etice Esentiale ale Rivium si se desfasoara in conformitate cu Modelul de Sustenabilitate prevazut de Global Compact al Natiunilor Unite, semnat in 2004.

Rivium’s sustainable development strategies pursue various objectives, including continuous improvement in the environmental and occupational health and safety conditions affected by its own activities, in firm compliance with and support of the “Universal Declaration of Human Rights,” the “International Labour Organization’s Declaration on Fundamental Principles and Rights at Work,” the “Rio Declaration on Environment and Development” and the “United Nations Convention against Corruption.”

Strategiile de dezvoltare durabila ale Rivium au mai multe obiective, inclusiv imbunatatirea continua a aspectelor referitoare la mediu, securitate si sanatate la locul de munca, in legatura cu propriile activitati, respectand ferm si sustinand continutul „Declaratiei Universale a Drepturilor Omului”, al „Declaratiei Organizatiei Internationale a Muncii referitoare la Principiile si Drepturile Fundamentale ale Muncii”, al „Declaratiei de la Rio referitoare la Mediu si Dezvoltare” si al „Conventiei Natiunilor Unite impotriva coruptiei”.





This document applies broadly to all directors, managers, employees and auditors of Rivium, and to all those natural and legal persons who

Prezentul document se aplica in sens larg tuturor administratorilor, directorilor, angajatilor si auditorilor Rivium si tuturor



MUNCII, MEDIU

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have business relations with Rivium including the Moldova Business Center (the “Recipients”).

persoanelor fizice si juridice care au relatii comerciale cu Rivium, inclusiv Centrul Comercial Moldova („Destinatarii”).

All Recipients are obligated to comply with the principles embodied in this document or explain in writing in a manner satisfactory to Rivium why they cannot do so. Otherwise, a breach of these principles by any Recipient may lead to disciplinary measures as provided in the offender’s employment agreement or commercial contract, including termination thereof.

Toti Destinatarii sunt obligati sa respecte principiile consfintite in prezentul document sau sa explice in scris intr-un mod satisfacator pentru Rivium contrariul. Altfel, o incalcare a acestor principii de catre orice Destinatar poate conduce la aplicarea masurilor disciplinare astfel cum prevede contractul de munca sau contractul commercial al acestora, inclusiv la reziliere.

To these ends, Rivium is committed to: In acest scop Rivium se angajeaza:

(a) management of its activities by adopting occupational health, safety and rights and environmental policies in compliance with the highest international standards;

(a) sa conduca propriile activitati prin adoptarea unor politici privind securitatea si sanatatea la locul de munca, dreptul muncii, si de mediu, in conformitate cu cele mai inalte standarde internationale;

(b) the dissemination of occupational health, safety and labour rights and environmental information to its internal and external stakeholders, both by communicating with them and actively co-operating with national and international government and academic bodies;

(b) sa comunice si sa difuzeze informatii cu privire la securitatea si sanatatea la locul de munca si protectia muncii, mediu, tuturor factorilor interesati („stakeholders”) interni si externi, comunicand cu acestia si colaborand activ cu organismele academice si legislative nationale si internationale;

(c) promoting use of the most advanced technologies to achieve excellence in occupational health and safety and environmental protection;

(c) sa promoveze utilizarea celor mai avansate tehnologii, pentru a excela in domeniile securitatii si sanatatii la locul de munca, si a protectiei mediului;

(d) assessing and reducing the environmental impact of its own services;

(d) sa evalueze si sa reduca impactul asupra mediului al propriilor servicii

(e) responsible use of material resources, in view of achieving sustainable growth that respects the environment and the rights of future generations;

(e) sa utilizeze, in mod responsabil, resursele, cu obiectivul de a atinge o dezvoltare durabila, care sa respecte mediul si drepturile generatiilor viitoare;

(f) not using or supporting the use of child labour and forced labour;

(f) sa nu utilizeze, sau sa sprijine folosirea muncii minorilor si a muncii fortate;

(g) ensuring equal opportunity, freedom of association and promotion of the development of each individual;

(g) sa asigure egalitatea de sanse si libertatea de asociere, promovand dezvoltarea fiecarui individ in parte;



MUNCII, MEDIU

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(h) opposing the use of corporal punishment, mental or physical coercion or verbal abuse;

(h) sa se opuna utilizarii pedepselor corporale, coercitiei mentale sau fizice, abuzului verbal;

(i) compliance with applicable laws and industry standards on working hours and ensuring that wages shall be sufficient to meet the basic needs of personnel;

(i) sa respecte legile si standardele industriale in materie de program de lucru si sa garanteze ca salariile sunt suficiente pentru a satisface nevoile elementare ale personalului;

(j) establishing and maintaining appropriate procedures to evaluate and select suppliers and subcontractors based on their commitments to social and environmental accountability;

(j) sa stabileasca si sa mentina proceduri corespunzatoare de evaluare si selectionare a furnizorilor si subcontractantilor in baza angajamentelor acestora in domeniul responsabilitatii sociale si de mediu;

(k) not tolerating corruption in any way in any jurisdiction, even if such activities are allowed, tolerated or non-prosecutable;

(k) sa nu tolereze niciun tip de coruptie sub nicio forma, in oricare jurisdictie, nici macar acolo unde activitatile de acest tip sunt permise, tolerate sau nu sunt urmarite in justitie;

(l) involving all levels of the organisation and all employees by assuring that responsibilities and operating procedures are precisely defined, appropriately communicated and clearly understood.

(l) sa implice toate nivelurile de organizare si toti angajatii, garantand ca responsabilitatea si procedurile operative sunt definite cu precizie, comunicate in mod adecvat si clar intelese.

Rivium is committed to continuously improving its policy and programmes and to implementing the procedures, rules and instructions designed to ensure that the values embodied in the policy are reflected in the conduct of each of its employees and collaborators.

Rivium se angajeaza sa-si imbunatateasca continuu politica si programele si sa implementeze proceduri, reguli si instructiuni menite sa garanteze ca valorile expuse in aceasta politica sunt reflectate in comportamentul fiecarui angajat si colaborator al sau.

Rivium believes that through the application of this policy, it will help to ensure that present and future generations will enjoy the conditions and possess the tools necessary for a better quality of life.

Rivium, prin aplicarea acestei politici, considera ca va contribui la asigurarea, pentru generatiile prezente si viitoare, a conditiilor si instrumentelor necesare unei mai bune calitati a vietii.

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RIVIUM’S CORE ETHICAL VALUES VALORILE ETICE ESENTIALE ALE RIVIUM

This document contains Rivium’s “Core Ethical Values”.

Prezentul document contine „Valorile Etice Esentiale”.









1. FAIRNESS 1. LOIALITATE SI CORECTITUDINE

Rivium strives to exhibit fairness and professional courtesy in all its internal and external operations.

Rivium urmareste sa isi desfasoare toate operatiunile interne si externe dand dovada de corectitudine si curtoazie profesionala.

2. INNOVATION AND OPENNESS 2. INOVATIE

Rivium constantly seeks opportunities to improve existing processes. We encourage

Rivium cauta in permanenta oportunitati de a imbunatati procesele existente. Rivium


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and tolerate debate and reasoned disagreement with decisions by management where there is a better alternative. We are open to positive change.

incurajeaza si tolereaza confruntarea, si dezacordurile justificate fata de deciziile superiorilor, atunci cand exista o alegere alternativa considerata mai buna. Rivium incurajeaza schimbarile pozitive.

3. COMMUNITY 3. COMUNITATEA

Rivium seeks long-term sustainable growth in full awareness of the interdependence of economic, social, and environmental factors, being mindful of the effects that a decision in one such area has on the others.

Riviun urmareste garantarea unei dezvoltari responsabile pe termen lung, cu constiinta legaturilor si interactiunilor existente intre dimensiunea economica, sociala si cea legata de mediu, luand in considerare efectele unei decizii luate referitor la unul dintre acestea, asupra celorlalte.

4. CONFIDENTIALITY 4. CONFIDENTIALITATE

Rivium exhibits professionalism in running its business and ensures the utmost confidentiality regarding information acquired through its commercial operations.

Rivium da dovada de profesionalism in desfasurarea afacerilor si asigura confidentialitate maxima referitor la informatiile obtinute in cadrul operatiunilor sale comerciale.

5. CUSTOMER FOCUS 5. ORIENTAREA SPRE CLIENT

Rivium’s primary commercial commitment is to anticipate customers’ needs and meet their demands with an immediate and professional response.

Angajamentul comercial primar al Rivium este de a anticipa exigentele propriilor clienti si de a le satisface cererile prin intermediul unui raspuns imediat si profesional.

6. EXCELLENCE 6. EXCELENTA

Rivium pursues personal, professional and technical expertise and applies the leverage they provide to perform its operations with excellence and confidence.

Rivium urmareste experienta personala, profesionala si tehnica, utilizand aceasta pentru a–si desfasura operatiunile cu excelenta si incredere.

7. ENVIRONMENT 7. MEDIU INCONJURATOR

A key consideration in Rivium’s capital investment and business decisions is environmental sustainability. Rivium controls its operations and utilizes methods and technologies that reduce waste and conserve natural resources.

Durabilitatea mediului reprzinta un element cheie in deciziile Rivium cu privire la afaceri si investitii.Rivium isi controleaza operatiunile si utilizeaza metode si tehnologii care reduc risipa si conserva resursele naturale.

8. PROACTIVE RISK MANAGEMENT 8. MANAGEMENT PROACTIV AL RISCULUI

Rivium ensures that internal and external audit bodies receive direct and unfettered access to all personnel, operations,

Rivium se asigura ca organele de audit interne si externe au acces direct si neconditionat la toate persoanele,


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documents and assets of Rivium to assess, avoid and mitigate commercial risks.

operatiunile, documentele si bunurile Rivium pentru a evalua, evita si reduce riscurile comerciale.

9. ANTI-CORRUPTION POLICY 9. POLITICA ANTICORUPTIE

Rivium has a robust anti-corruption policy and it does not tolerate corruption in any form in any jurisdiction, even in places where such activity is admissible in practice, tolerated, or not challenged in the courts.

Rivium are o politica anticoruptie robusta si nu tolereaza niciun fel de coruptie sub nicio forma, in nicio jurisdictie, nici macar acolo unde acest tip de activitati sunt admise, tolerate sau nu sunt urmarite in justitie.

10. EMPLOYEES 10. ANGAJATI

Rivium recognizes that the key to success of any business is the professional input of its employees that work in a climate of fairness and mutual trust. Rivium safeguards employees’ health, safety and hygiene and the prevention of occupational risk.

Rivium recunoaste ca acea cheie a succesului oricarei afaceri este data de contributia profesionala a angajatilor sai care lucreaza intr-un climat de corectitudine si incredere reciproca. Rivium protejeaza sanatatea, securitatea si igiena angajatilor sai si previne riscurile de accident in munca.

11. SUPPLIERS AND OUTSIDE SERVICES 11. FURNIZORI SI SERVICII EXTERNE

Suppliers and outside services play a key role in improving the competitiveness of Rivium’s business. Rivium requires that its suppliers and outside services comply with the principles of these Core Ethical Values.

Furnizorii si serviciile externe au un rol fundamental in imbunatatirea competitivitatii globale a Rivium. Rivium le cere furnizorilor si serviciilor externe respectarea principiilor acestor Valori Etice Esentiale.

12. FAIR COMPETITION 12. CONCURENTA LOIALA

Rivium acknowledges that proper and fair competition is essential in the marketplace. Consequently, no Recipient may justify conduct that is at variance with these Core Ethical Values by claiming that they are acting in the interest of Rivium.

Rivium recunoaste ca o concurenta loiala este esentiala pe piata. In consecinta, niciun Destinatar nu poate justifica o conduita care este in contradictie cu aceste Valori Etice Esentiale sustinand ca actioneaza in interesul Rivium.

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RIVIUM’S ANTI-CORRUPTION CODE CODUL ANTICORUPTIE AL RIVIUM



This document contains Rivium’s “Anti-Corruption Code”.

Prezentul document contine „Codul Anticoruptie” al Rivium.

Rivium will not tolerate corruption in any form in public or private sectors in any jurisdiction, even in places where such activity is admissible in practice, tolerated, or not challenged in the courts.

Rivium nu tolereaza niciun fel de corupție sub nicio forma in sectorul public sau privat, in orice jurisdicție, nici macar acolo unde acest tip de activitați sunt admise, tolerate sau nu sunt urmarite in justiție.









1. Careful selection of counterparties 1. Selectie atenta a contrapartilor

The appointment of persons operating in the name, on behalf or in the interest of Rivium

Numirea persoanelor care actioneaza in numele, in contul sau in interesul Rivium va


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must comply with this Anti-Corruption Code. Failure to do so will entitle Rivium to terminate the contractual relationship.

respecta prezentul Cod Anticoruptie. Nerespectarea acestuia va da dreptul Rivium sa rezilieze relatia contractuala.

2. Intermediaries and Outsourcers 2. Intermediari si furnizori

In support of its activities, Rivium relies on intermediaries and outsourcers1 that must satisfy the requirements of honesty and professional fairness recognised by Rivium. Its relationships with intermediaries and outsourcers are based on the following principles:

In sprijinul activitatilor sale, Rivium se bazeaza pe intermediari si furnizori1 ce trebuie sa indeplineasca cerintele de integritate si corectitudine profesionala recunoscute de Rivium. Relatiile sale cu intermediarii si furnizorii se bazeaza pe urmatoarele principii:

(i) Rivium examines and verifies the experience and technical expertise of these intermediaries, and asks that they declare that they have not been subject to investigations or court judgements related to corrupt practices.

(i) Rivium examineaza si verifica experienta si capacitatea tehnica a acestor intermediari, si le solicita sa declare ca nu au fost subiectul unei cercetari sau decizii judecatoresti referitoare la practici de coruptie.

(ii) The contracts are made in writing, in accordance with existing Rivium standards, and contain specific clauses that are designed, inter alia, to enforce compliance by the counterparty with the anti-corruption commitments made by Rivium.

(ii) Contractele se realizeaza in scris, in conformitate cu standardele Rivium, si contin clauze specifice ce au rolul, printre altele, sa intareasca respectarea de catre cealalta parte a angajamentelor anticoruptie asumate de Rivium.

3. Relations with Public Administrations 3. Relatiile cu Administratiile Publice

In relations with the Public Administrations (including Public Officials), the Recipients must refrain from all acts or omissions that might represent even a mere attempt to corrupt them.

In relatia cu Administratiile Publice (inclusiv Functionarii Publici), Destinatarii trebuie sa se abtina de la orice actiuni sau omisiuni ce pot reprezenta chiar si o tentiva de a-i corupe.

(i) The Recipients must keep documented records of economic relationships with Public Officials (e.g. entertainment expenses, compensation for services performed by Public Administrations, etc.).

(i) Destinatarii trebuie sa pastreze o evidenta documentata a relatiilor economice cu Functionarii Publici (de exemplu, cheltuielile de recreere, plata serviciilor efectuate de catre Administratiile Publice etc.).

1 "Intermediaries and outsourcers" refer to persons who are in contact with or that work between two or more commercial

counterparties. For the purposes of this document, they are considered to be agents, representatives, consultants or

consultancy firms, distributors, resellers, outsourcers, subcontractors, subsidiaries and franchisees. /„Intermediari si furnizori” se refera la persoane ce sunt in contact cu sau lucreaza intre doua sau mai multe parti comerciale. In scopul acestui document, acestia sunt considerati a fi agentii, reprezentantii, consultantii sau societatile de consultanta, revanzatorii, prestatorii externi de servicii, subcontractorii, filialele si francizatii.


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(ii) Any request made by a Public Official directly or through an intermediary to obtain payments, gifts, trips, personal assistance or other benefits in favour of him/her or his/her family, relatives and domestic partners, or to be given to another beneficiary so that acts be performed or not performed on behalf of Rivium must be reported immediately to Rivium’s management.

(ii) Orice cerere facuta de catre un Fuctionar Public direct sau printr-un intermediar pentru obtinerea unei plati, cadouri, calatorii, asistenta personala sau alte beneficii in favoarea sa sau a membrilor familiei sale,a rudelor sau a partenerilor, sau ca acestea sa fie date unui alt beneficiar astfel incat o anumita activitate sa fie efectuata sau nu in beneficiul Rivium trebuie raportata imediat managementului Rivium.

4. Gratuities and entertainment expenses 4. Cadouri si cheltuieli de recreere

Rivium gives gratuities and incurs entertainment expenses only for institutional, commercial and marketing purposes, in accordance with Rivium regulations and always in compliance with the laws, commercial practices and – if known – ethical codes of the firms/entities with which it has relations.

Rivium acorda cadouri si suporta cheltuieli de recreere doar pentru motive institutionale, comerciale si de marketing, in conformitate cu regulile Rivium si intotdeauna in conformitate cu legile, practicile comerciale si – daca exista – codurile de etica ale firmelor/entitatilor cu care are relatii.

(i) Gifts or other useful items of moderate value may be given to Public Officials according to the standards defined at Rivium level2 and as described in detail in the section “Relations with Public Administrations”.

(i) Cadouri sau alte bunuri de valoare moderata pot fi acordate Functionarilor Publici in conformitate cu standardele definite la nivelul Rivium2, asa cum sunt definite in detaliu in sectiunea „Relatiile cu Administratiile Publice”.

(ii) Any waivers must be notified in advance by Rivium’s management. No waivers are allowed in any case for gratuities and entertainment expenses unconnected with normal institutional, commercial, marketing and courtesy relations and/or the ordinary operation of business activity, and otherwise capable of giving the impression that they are aimed at acquiring or granting undue benefits.

(ii) Orice derogari trebuie comunicate in prealabil de catre managementul Rivium. Nicio derogare nu este permisa in niciun caz pentru cadouri si cheltuieli de recreere ce nu au legatura cu relatiile normale institutionale, comerciale, de marketing si de protocol si/sau de desfasurarea obisnuita a activitatii de afaceri, si ce pot da impresia in orice fel ca au ca scop primirea sau oferirea foloase necuvenite.

(iii) Rivium employees are not allowed to accept gratuities, gifts or any benefit whatsoever that has more than a moderate value from persons related in any way to corporate activities (outsourcers, partners, customers, etc.) and otherwise capable of giving the

(iii) Angajatilor Rivium nu le este permis sa accepte cadouri sau orice alt beneficiu ce are mai mult decat o valoare moderata de la persoane ce au legatura in orice fel cu activitatile societatii (furnizori, parteneri, clienti etc.) si ce pot da impresia in orice fel ca au ca scop

2 The limit on moderate value is EUR 25 in Romania./In Romania, limita valorii moderate este 25 de euro.


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impression that they are aimed at acquiring or granting undue benefits.

primirea sau oferirea foloase necuvenite.

(iv) Those employees who receive benefits or gratuities outside of the allowed cases must notify their immediate supervisor and Rivium’s management, which will assess their fairness on the basis of corporate procedures.

(iv) Acei angajati ce primesc beneficii sau gratuitati in afara cazurilor permise trebuie sa informeze seful lor direct si managementul Rivium, ce va evalua corectitudinea lor in baza procedurilor societatii.

(v) The accounting and authorisation documents related to gratuities and entertainment expenses must be filed, recorded and retained in accordance with Rivium regulations.

(v) Contabilitatea si documentele de autorizare referitoare la cadouri si cheltuielile de recreere trebuie depuse, inregistrate si arhivate in conformitate cu regulile Rivium.

5. Promotions 5. Promotii

(a) Rivium may engage in promotional activities to enhance the name recognition and prestige of the Rivium brand.

(a) Rivium poate intreprinde activitati promotionale in vederea cresterii recunoasterii numelui si prestigiului marcii Rivium.

(i) The contracts must be made in writing and contain clauses that enforce compliance by the counterparty with this Anti-Corruption Code.

(i) Contractele trebuie incheiate in scris si vor contine clauze ce intaresc respectarea de catre contraparte a prezentului Cod Anticoruptie.

(ii) The accounting documents and documents related to the contracts made with the counterparty must be filed, recorded and stored in accordance with Rivium regulations.

(ii) Documentele contabile si documentele referitoare la contractele incheiate cu o contraparte trebuie depuse, inregistrate si arhivate in conformitate cu regulile Rivium.

6. Donations, contributions and payments to the external community

6. Donatii, contributii si plati catre comunitatea externa

(a) Rivium may support charitable activities3 in favour of natural persons and legal entities, private and public institutions and associations in view of supporting projects or pursuit of the beneficiaries' institutional objectives.

(a) Rivium poate sprijini activitati caritabile3 in beneficiul unor persoane fizice si juridice, institutii private si publice si asociatii in vederea sprijinirii de proiecte sau in urmarirea obiectivelor institutionale ale beneficiarilor.

3 "Contribution" means any grant of assets (and thus in cash and in kind) to natural persons or legal entities, institutions,

associations (public and private; for profit and non-profit) having proven experience and recognition, at least at the national level, and operating in the educational and training, culture, sport, research and innovation, social

solidarity/philanthropy, promotion of human rights, environment and environmental education sectors. /„Contributii”

inseamna orice transmitere de bunuri (atat in numerar cat si in natura) catre persoane fizice sau juridice, institutii, Asociatii (publice sau private; ce obtin profit si non-profit) ce au dovedit experienta si recunoastere, cel putin la nivel national, si care functioneaza in domeniile educatiei si formarii profesionale, cultura, sport, cercetare si dezvoltare, solidaritate sociala/filantropie, promovarea drepturilor omului, protectia mediului si educatia ecologica.


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(b) Donations, contributions and payments to the external community must be managed in accordance with applicable laws and regulations, and specifically consider the following reference standards:

(b) Donatiile, contributiile si platile catre comunitatea externa trebuie gestionate in conformitate cu legile si regulamentele aplicabile, si in mod special sa aiba in vedere urmatoarele standarde de referinta:

(i) The beneficiaries of Contributions and Donations are identified by parties who have independent judgement, expertise and delegated authority, as provided by the Rivium Procedure.

(i) Beneficiarii contributiilor si donatiilor sunt identificati de parti ce au gandire independenta, competenta si autoritatea delegata, asa cum sunt cerute de Procedura Rivium.

(ii) The analyses and choice of beneficiaries, accounting documents, and documents related to the agreements made with the counterparty must be filed, recorded and stored in accordance with Rivium regulations.

(ii) Analizele si alegerea beneficiarilor, documentele contabile si documentatia referitoare la contractele incheiate cu acestia trebuie depuse, inregistrate si arhivate in conformitate cu regulile Rivium.

7. Human Resources 7. Resurse Umane

(a) The Rivium Human Resources recruitment and selection process4 complies, inter alia, with the principles of non-discrimination, absolute impartiality, autonomy and independent judgement, which are intended to guarantee that the final decision results in selection of the individuals most qualified to hold the position in question and include an offer that is competitive on the reference market, while guaranteeing equal access to job opportunities.

(a) Procesele de recrutare si selectie4 ale Departamentului de Resurse Umane al Rivium respecta, printre altele, principiile non-discriminarii, impartialitatii absolute, autonomiei si evaluarii independente, ce au rolul sa garanteze ca decizia finala are ca rezultat selectarea persoanelor calificate in a detine pozitia respectiva si include o oferta ce este competitiva pe piata de profil, in timp ce garanteaza acces egal la oportunitatile locurilor de munca disponibile.

(b) According to applicable laws and regulations, the candidates must declare:

(b) In conformitate cu legile si regulamentele aplicabile, candidatii trebuie sa declare:

(i) any relationships that they might have with Public Officials;

(i) orice relatie pe care ar putea sa o aiba cu Functionari Publici;

(ii) concluded court actions against them; (ii) actiuni judiciare finalizate impotriva lor;

(iii) any civil and criminal court proceedings against them related to unlawful activities.

(iii) orice actiune civila sau penala in care sunt implicati si care se refera la activitati ilegale.

8. No Facilitation Payments 8. Fara plati de facilitare

4 This is defined as the set of activities and phases that lead to hiring of new staff (both managers and employees),

including temporary workers, trainees and scholarship recipients. /Acestea sunt definite ca un set de activitati si etape ce au ca rezultat angajarea de nou personal (atat personal cu functii de conducere cat si cu functii de executie), inclusiv angajatii temporari, stagiarii si beneficiarii de burse de studiu.


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(a) Rivium promotes exemplary business conduct worldwide. Therefore, it does not allow the payment, offer, or acceptance of direct or indirect facilitation payments5, i.e. payments and benefits of all kinds and types intended to accelerate the performance of mandatory services by parties outside of Rivium.

(a) Rivium promoveaza o conduita de afaceri exemplara la nivel global. Prin urmare, nu permite plata, oferirea sau acceptarea de plati de facilitare directe sau indirecte5, precum de exemplu plati si beneficii de toate felurile si tipurile efectuate in scopul de a accelera realizarea unor servicii obligatorii de catre terti fata de Rivium.

(b) If a facilitation payment is requested, promised or offered, one's own direct superior and Rivium’s management must be notified immediately.

(b) Daca o plata de facilitate este solicitata, promisa sau oferita, seful direct si managementul Rivium trebuie informati imediat.

5 Facilitation payments are defined as payments made to Public Officials to facilitate or accelerate “routine governmental

activities“ that already have to be performed on behalf of the Company such as, for example: issuance of permits, licenses or other official documents, preparation of governmental documents, such as visas or other orders for work, provision of telecommunication, energy and water services, loading/unloading of merchandise, or protection of fragile/hazardous goods, planning of inspections related to performance of the agreement transit of goods in the country./Platile de facilitare sunt definite ca plati efectuate catre Functionari Publici in scopul de a asigura sau accelera “activitati guvernamentale de rutina” ce trebuie sa fie efectuate in beneficiul Companiei precum de exemplu: emiterea de autorizatii, licente sau alte documente oficiale, pregatirea de documente guvernamentale, precum vize sau autorizatii de munca, furnizarea de servicii de telecomunicatii, energie si apa, incarcare/descarcare de marfuri, sau protectia unor bunuri fragile/periculoase, planificarea inspectiilor referitoare la executarea contractelor de tranzitare de bunuri in tara.

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RIVIUM’S CODE OF CONDUCT CODUL DE CONDUITA AL RIVIUM



This document contains Rivium’s “Code of Conduct”.

Prezentul document contine „Codul de conduita”.

This Code of Conduct identifies behaviour in the form of Obligations and Prohibitions, referring in particular to Rivium’s relations with Public Administrations and third parties.

Prezentul Cod de Conduita identifica conduita sub forma de Obligatii si Interdictii cu referire, in special, la relatiile cu Administratiile Publice si tertii.









OBLIGATIONS OBLIGATII

1. The Recipients must comply with the laws and regulations of Romania, and the laws and regulations of any other country

1. Destinatarii sunt obligati sa respecte legile si regulamentele din Romania, si legile si regulamentele din orice alte tari aplicabile


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applicable to Rivium’s business transactions. tranzactiilor Rivium.

2. All Rivium managers must ensure that, so far as is reasonably practicable, all intended Recipients are aware of this Code of Conduct, the consequent behaviour required hereby and, if at any time any person is uncertain on the proper procedure to be followed, they are adequately advised and assisted to meet the Code of Conduct standards required by Rivium.

2. Toti directorii Rivium trebuie sa se asigure ca, in masura in care acest lucru este posibil in mod rezonabil, toti Destinatarii avuti in vedere cunosc acest Cod de Conduita si, in consecinta, comportamentul impus si, daca in orice moment orice persoana are indoieli cu privire la procedurile corespunzatoare pe care trebuie sa le urmeze, acestia sunt informati si primesc asistenta in mod corespunzator pentru a respecta standardele Codului de Conduita impuse de Rivium.


(a) In all relations with Public Administrations, the Recipients must operate with professional integrity.

(a) In toate relatiile cu Administratiile Publice Destinatarii trebuie sa actioneze cu integritate profesionala.

(b) Rivium’s managers must ensure that they: (b) Toti directorii Rivium trebuie sa se asigure ca:

(i) give their subordinates instructions on the conduct to be followed in their formal and informal contacts with Public Administrations, giving them information about the law and making them aware of situations where there is a risk of crime;

(i) transmit instructiuni persoanelor subordonate lor cu privire la conduita care trebuie adoptata in contactele oficiale si neoficiale cu Administatiile Publice, oferindu-le informatii cu privire la prevederile legale si situatiile in care exista riscul comiterii unei infractiuni;

(ii) provide adequate mechanisms to trace and archive Rivium’s communications and information flows with Public Administrations.

(ii) furnizeaza mecanisme adecvate pentru urmarirea si arhivarea fluxurilor de comunicari si informatii ale Rivium cu Administratiile Publice.

4. Corporate Matters 4. Aspecte corporative

(a) Rivium’s managers and supervisors, as part of their duties and within the scope of their assigned responsibilities, must ensure that each transaction is:

(a) Directorii si supraveghetorii Rivium, in cadrul indatoririlor lor si in limitele responsabilitatilor ce le-au fost conferite, se vor asigura ca fiecare tranzactie este:

(i) legitimate, fair and properly authorized; (i) legitima, corecta si coresapunzator autorizata;

(ii) correctly and consistently recorded by documents to permit the authorization, execution, performance processes and the persons involved to be audited.

(ii) inregistrata in mod corect si corespunzator prin documente astfel incat sa permita auditarea proceselor de autorizare, semnare, executare si a persoanelor implicate;


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(b) The Recipients involved in drafting the financial statements or other similar documents, must behave properly, provide full cooperation, ensure the completeness and clarity of the information provided, the accuracy of the data and calculations, report any conflicts of interest, etc.

(b) Destinatarii implicati in intocmirea situatiilor financiare si a altor documente similare trebuie sa aiba un comportament adecvat, sa ofere cooperare deplina, sa asigure caracterul complet si claritatea informatiilor furnizate, acuratetea datelor si calculelor, sa raporteze orice conflicte de interese etc.

(c) Rivium’s directors must give written notice of any conflict of interest they may have whether personally or on behalf of third parties in a Rivium transaction, specifying its nature, terms, origin and scope, and refrain from participating in the transaction. The written notice shall be delivered to Rivium’s outside auditor with acknowledgement of receipt, and the outside auditor shall delegate participation in the transaction to an authorized alternate person.

(c) Administratorii Rivium sunt obligati sa notifice in scris orice conflict de interese pe care l-ar putea avea, personal sau in numele tertilor, in legatura cu o tranzactie a Rivium, indicand natura, termenii, originea si sfera acestuia, si sa nu participe la respectiva tranzactie. Notificarea scrisa va fi adresata auditorului extern al Rivium cu confirmare de primire, iar auditorul extern va delega participarea in respectiva tranzactie unei alte persoane autorizate.

(d) The Recipients and in particular the directors:

(d) Destinatarii si, in special, administratorii:

(i) when preparing financial statements, any communications to the market or other similar documents, must represent the economic and financial situation of Rivium in a truthful, clear and complete manner;

(i) la intocmirea situatiilor financiare, a oricaror comunicari catre piata sau a altor documente similare, vor declara in mod corect, clar si complet situatia economica si financiara a Rivium;

(ii) must comply promptly with any requests for information made by Rivium’s shareholders and outside auditor, and facilitate the performance of controls lawfully attributed to shareholders, other corporate bodies or the external auditor.

(ii) vor raspunde prompt oricarei solicitari de informatii din partea asociatilor Rivium si din partea auditorului extern si vor facilita efectuarea verificarilor la care au dreptul in mod legal asociatii sau alte organisme corporative sau auditorii externi;

(e) Only duly authorized individuals may liaise with the media, and are required to give truthful information about Rivium.

(e) Doar persoanele autorizate in mod legal pot avea contact cu presa si sunt obligate sa ofere informatii reale cu privire la Rivium.

5. Relations with third parties 5. Relatiile cu tertii

(a) No Rivium business relations will be initiated or continued with any person who does not intend to respect this Code of Conduct. The appointment of persons operating in the name or on behalf or in the interests of Rivium must be made in writing and must include a specific clause that requires

(a) Nicio relatie de afaceri a Rivium nu va fi inceputa sau continuata cu o persoana care nu intentioneaza sa respecte acest Cod de Conduita. Numirea persoanelor care actioneaza in numele sau in interesul Rivium se va face in scris si va include o clauza specifica in care se prevede respectarea


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compliance with this Code of Conduct. Failure to comply with this specific clause will entitle Rivium to terminate the contractual relationship.

acestui Cod de Conduita. Nerespectarea acestei clauze specifice va da dreptul Rivium sa rezilieze relatia contractuala.

(b) All consultants, suppliers and third parties acting in the name or on behalf or in the interests of Rivium:

(b) Toti consultantii, furnizorii si tertii care actioneaza in numele sau in interesul Rivium:

(i) shall be selected with complete impartiality, autonomy and best judgment. When selecting them, Rivium will assess their competence, reputation, independence, skills and ability to properly and timely perform the contractual obligations and tasks assigned to them;

(i) vor fi selectati in mod complet impartial, autonom si independent. La selectia acestora, Rivium va evalua competenta, reputatia, independenta, abilitatile organizationale si capacitatea acestora de a indeplini in mod corespunzator si la timp obligatiile contractuale si sarcinile ce le-au fost alocate;

(ii) shall always, without any exception, act with integrity and diligence in full compliance with any alternate codes and policies that may be adopted within their own organizations. If there is a conflict between Rivium’s and their own organization’s codes and policies, then all persons have the obligation to inform Rivium’s management in writing in advance if any intended act would violate Rivium’s codes and policies.

(ii) vor actiona intotdeauna, fara nicio exceptie, cu integritate si diligenta, in deplina conformitate cu orice alte coduri si politici care ar putea fi adoptate in cadrul organizatiilor acestora. In cazul in care exista vreun conflict de interese intre codurile si politicile Rivium si cele ale organizatiei acestora, atunci toate persoanele au obligatia de a informa anterior managementul Rivium in scris in situatia in care orice act intentionat ar incalca codurile si politicile Rivium.

6. The Recipients must report any breach or suspected breach of this Code of Conduct to Rivium’s management. The reports must be not anonymous. Rivium shall protect reporting Recipients from any adverse consequences arising from such reporting, ensuring the confidentiality of the informants, subject to the requirements of law.

6. Destinatarii au obligatia de a raporta managementului Rivium orice incalcare sau incalcare suspectata a prezentului Cod de Conduita. Rapoartele nu vor fi anonime. Rivium protejeaza Destinatarii care fac raportari de orice consecinte nefavorabile aparute in urma unei astfel de raportari, asigurand confidentialitatea informatorilor, sub rezerva prevederilor legale.

PROHIBITIONS INTERDICTII

1. No Recipient shall perform, directly or indirectly, any act which is or may be deemed contrary to this Code of Conduct, even if that act results in any benefit to

1. Niciun Destinatar nu va intreprinde, in mod direct sau indirect, nicio actiune care este sau poate fi considerata contrara prezentului Cod de Conduita , chiar daca respectiva actiune da nastere unui beneficiu


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,

Rivium. sau interes pentru Rivium.

2. The Recipients are expected to avoid any conflict of interest with Rivium in any business transaction. If an unavoidable conflict of interest arises, the Recipient must give written notice to Rivium’s management, specifying its nature, terms, origin and scope, and refrain from participating in the transaction.

2. Se asteapta ca Destinatarii sa evite orice conflict de interese cu Rivium in orice tranzactie. In cazul in care apare un conflict de interese care nu poate fi evitat, Destinatarul are obligati sa il raporteze imediat in scris managementului Rivium, indicand natura, termenii, originea si sfera acestuia, si sa nu participe la respectiva tranzactie.

3. The Recipients must refrain from any conduct which is detrimental to the image of Rivium.

3. Destinatarii se vor abtine de la orice conduita care este in detrimentul imaginii Rivium.


(a) When dealing with representatives of Public Administrations, it is forbidden directly or indirectly to offer or provide to, or solicit or obtain from, any person (including family members to the fourth degree):

(a) In relatiile cu reprezentantii Administratiilor Publice este interzisa, in mod direct sau indirect, oferirea sau furnizarea catre, sau solicitarea sau obtinerea de la, orice persoana (inclusiv membrii familiilor sau rudelor acestora) a:

(i) money, gifts, unjustified entertainment expenses or other benefits except in the case of gifts or items of moderate value1;

(i) unor sume de bani, cadouri, cheltuiele de recreere nejustificate sau alte beneficii, exceptand cadourile sau articolele avand o valoare moderata1;

(ii) jobs or services of personal utility; (ii) unor locuri de munca/servicii de utilitate personala;

(iii) confidential information or documents that might compromise the integrity or reputation of either or both parties;

(iii) unor informatii confidentiale sau documente care ar putea compromite integritatea sau reputatia oricareia dintre parti sau a ambelor parti;

(iv) favours, in the acquisition process, to suppliers or subcontractors recommended by representatives of Public Administrations as a condition for the successful performance of an official duty (e.g., the issuance of licences, permits, waivers, etc.).

(iv) unor favoruri, in procesul de achizitie, catre furnizorii sau sub-contractantii recomandati de reprezentantii Administratiilor Publice ca fiind o conditie pentru executarea cu succes a unei indatoriri oficiale (de ex. emiterea de licente, autorizatii, renuntari etc.).

(b) These actions and behaviours are prohibited both if carried out directly by Rivium through its employees or if carried out

(b) Aceste actiuni si comportamente sunt interzise atat in cazul in care sunt intreprinse direct de Rivium prin intermediul angajatilor

1 Moderate value is understood to be less than 25 euro per beneficiary and transaction./Prin valoare moderata

se intelege mai putin de 25 de euro de beneficiar si tranzactie.


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through non-employees acting in the name, on behalf or in the interests of Rivium.

acesteia sau in cazul in care sunt intreprinse prin intermediul altor persoane decat angajatii, care actioneaza in numele, in contul sau in interesul Rivium.

(c) When dealing with Public Administrations, it is prohibited:

(c) In relatiile cu Administratiile Publice, se interzice:

(i) to produce false or altered documents or data;

(i) prezentarea de documente/date false sau modificate;

(ii) to remove or omit true documents; (ii) eliminarea sau omiterea documentelor;

(iii) to mislead Public Administrations in the technical and economic evaluation of the operations and projects of Rivium;

(iii) inducerea in eroare a Administratiilor Publice in evaluarea tehnica si economica a operatiunilor si proiectelor Rivium;

(iv) to unduly influence the decisions of Public Administrations.

(iv) un comportament care sa influenteze in mod ilegal deciziile Administratiilor Publice;

(d) In general, it is prohibited to employ or assign advisory tasks to former civil servants who have personally and actively participated in any requests made to Public Administrations by Rivium.

(d) In general, este interzisa angajarea sau alocarea sarcinilor de consiliere catre fosti functionari publici care au participat personal si activ la orice cereri adresate Administratiilor Publice de catre Rivium.

5. Corporate Matters and Communications 5. Aspecte si comunicari corporative

(a) The Directors must not: (a) Administratorilor li se interzice:

(i) when pursuing the activities falling within their powers, perform or omit – following gifts or promised gifts - acts or facts in violation of the obligations set by law, including disposals of corporate assets for personal or third party interest;

(i) atunci cand desfasoara activitatile care le sunt alocate conform autoritatii acestora, sa intreprinda sau sa omita – ca urmare a cadourilor sau cadourilor promise – acte sau fapte cu incalcarea obligatiilor prevazute de lege, inclusiv dispunerea de activele companiei in interesul personal sau al tertilor;

(ii) return contributions to shareholders, or release them from the obligation to provide them, unless in case of a legitimate share capital reduction, and must not reduce Rivium’s share capital or carry out mergers or divisions in violation of the law protecting creditors;

(ii) sa restituie contributiile catre asociati sau sa ii scuteasca pe acestia de obligatia de a plati aceste contributii, exceptand cazul reducerii legitime a capitalului si li se interzice sa efectueze o reducere a capitalului Rivium sau fuziuni sau divizari cu incalcarea legii pentru protectia creditorilor;

(iii) distribute profits or advances on profits not effectively earned or to be used

(iii) sa aloce profiturile sau avansuri in contul profitului necastigat efectiv sau


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according to law as reserves, or allocate non-distributable reserves;

care urmeaza a fi folosit ca rezerve conform legii, sau sa aloce rezervele ne-distribuibile;

(iv) have Rivium acquire or subscribe shares issued by Rivium, except where permitted by law.

(iv) sa achizitioneze sau sa subscrie, in numele Rivium, actiuni emise de Rivium, cu exceptia cazurilor in care legea permite acest lucru;

(b) In their relations with the representatives of Romanian and non-Romanian companies, the Recipients are prohibited to give or promise, either directly or through an intermediary, any money, goods or other benefits to those representatives (or to their family members, relatives, domestic partners, etc.) outside of normal commercial and institutional relations, where the amount of money, goods or other benefits is intended to acquire undue benefits, or such as to give the impression of bad faith or unfairness. In any event, it is prohibited to give or promise money, goods or other benefits to the aforementioned individuals so that they perform or fail to perform acts in violation of their official duties or their obligations of fidelity, thereby causing harm to the entity to which they belong.

(b) In raporturile cu reprezentanții de societați, atat romanesti cat și internaționale, se interzice Destinatarilor sa ofere sau sa promita, fie direct fie, prin intermediul terților acestor reprezentanti (sau membrilor familiilor acestora, rudelor, partenerilor acestora etc.), in afara relațiilor comerciale și instituționale normale, bani, bunuri sau alte utilitați care sa aiba scopul de a obține foloase necuvenite, sau, sa fie in așa mod incat sa creeze o impresie de neincredere sau incorectitudine. In orice caz se interzice oferirea sau promiterea de bani, bunuri sau alte utilitați persoanelor sus-menționate pentru a influența pe aceștia sa comita sau sa efectueze acțiuni cu incalcarea obligațiilor oficiale ale acestora, sau a obligațiilor de fidelitate cauzand daune societații de apartenența.

(c) In general it is prohibited: (c) In general, se interzice:

(i) when preparing financial statements, reports or other corporate communications addressed to shareholders or the public, to represent untrue facts for the purpose of deceiving shareholders or the public, or to omit information whose disclosure is required by law, regarding the economic and financial situation of Rivium;

(i) la intocmirea situatiilor financiare, a declaratiilor sau a altor comunicari din partea companiei adresate asociatilor sau publicului, declararea unor fapte neadevarate in scopul inducerii in eroare a asociatilor sau a publicului, sau omiterea informatiilor a caror divulgare este ceruta prin lege, cu privire la situatia economica si financiara a Rivium;

(ii) to prevent or hinder control or audit functions legally attributed to shareholders, other corporate bodies or the external auditor;

(ii) impiedicarea sau obstructionarea functiilor de control sau audit atribuite in mod legal asociatilor, altor organisme corporatiste sau auditorului extern;

(iii) to omit disclosing any potential conflict of interest which directors, whether acting on their own or for third parties, have in a Rivium transaction;

(iii) omiterea divulgarii oricarui potential conflict de interese pe care l-ar putea avea intr-o anumita tranzactie a Rivium administratorii in nume propriu sau in


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numele tertilor;

(iv) when preparing the communications which, according to law, must be given to public supervisory authorities, to represent untrue facts regarding the economic and financial situation of Rivium, or to conceal, by any other fraudulent means, in whole or in part, facts that should have been disclosed;

(iv) la elaborarea comunicarilor care, conform legii, trebuie furnizate autoritatilor publice de supraveghere, declararea unor fapte neadevarate cu privire la situatia economica si financiara a Rivium, sau ascunderea, prin orice alte mijloace frauduloase, in intregime sau partial, a unor fapte care ar fi trebuit divulgate;

(v) to damage the integrity of Rivium’s assets and to carry out transactions to the detriment of creditors;

(v) prejudicierea integritatii activelor Rivium si efectuarea unor tranzactii in detrimentul creditorilor;

(vi) to influence the Shareholders’ Meeting or to spread false information regarding Rivium.

(vi) exercitarea de influenta asupra Adunarii Asociatilor sau diseminarea de informatii false cu privire la Rivium.

(d) Directors, employees and outside auditors must not:

(d) Administratorilor, angajatilor si auditorilor externi li se interzice:

(i) use Rivium’s inside information (i.e. information which has not been made public) for their own personal gain;

(i) sa foloseasca informatii confidentiale ale Rivium (adica informatii care nu au fost facute publice) in beneficiul propriu;

(ii) recommend or encourage others to use Rivium’s inside information for any other person’s personal gain;

(ii) sa recomande sau sa incurajeze alte persoane sa foloseasca aceste informatii ale Rivium in beneficiul propriu al oricarei alte persoane;

(iii) disclose inside information outside their assigned work activities.

(iii) sa divulge informatii din interior in afara activitatilor legate de munca lor.

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POLITICA DE RAPORTARE A RIVIUM Rivium ... - Moldova Centermoldovacenter.ro/doc.pdf1 RIVIUM’S WHISTLEBLOWER POLICY POLITICA DE RAPORTARE A RIVIUM Rivium Galeria Mall SRL, 1 Palat