Implementation Status of Preventing insider trading

To prevent the directors, managers, and employees from erroneously violating the relevant regulations on insider trading due to their not being familiar with the laws and regulations. Establish better procedures and disclosure mechanisms for handling material inside information to avoid information leakage, and ensure the consistency and accuracy of the company’s information published to the outside. We have established “the procedures for handling material inside information and preventing insider trading rule.” and disclosed it on uPI’s website.

When new directors, managers, and employees take office, uPI has to provide them with relevant education and also irregularly provide the relevant regulatory information in advocacy thereof and remind them of matters to be noted concerning insider trading.

 

Implementation status in 2023：

• A total of 205 emails were sent to the directors and managers to remind them to pay attention to laws and regulations related to insider and short-swing trading by email each month.
• Each half year, promoted the relevant law of Insider Trading to all employees of the Company by email, with a total of 604 participants.
• A total of 12 emails were sent to the managers to remind them of the notes on stock shares transfer by email.
• Each quarter, physical or online courses were provided to new recruits on the regulations of insider trading, with a total of 40 participants.
• On August 31, the Company held the director training course “Case study on insider/short-swing tradings and rules and case study of business judgment “, and a total of 5 internal personnel participated in that course.