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    Compliance and Risk Reporting Line

    NYU Shanghai is committed to operating consistent with applicable laws, regulations and NYU Shanghai policies and procedures. In accordance with the Compliance Complaint Policy,?NYU Shanghai encourages the good faith reporting of misconduct or compliance and risk issues identified by any member of the NYU Shanghai community or any person associated with or doing business with NYU Shanghai. Also, if you have questions regarding compliance and risk concerns, NYU Shanghai policies, or best business practices, we encourage you to raise these questions to the Compliance and Risk Management Department in the manner described below. ?


    Examples of matters that may be reported include:?


    ??? ?Code of Ethical Conduct Violations
    ??? ?Conflicts of Interest
    ??? ?Financial and Business Integrity Issues
    ??? ?Misuse of University Property or Assets
    ??? ?Research Related Issues
    ??? ?Export, Import and Trade Issues
    ??? ?Employment Issues
    ??? ?Workplace Safety
    ??? ?Operational Risks

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    Reports can be made as follows:

    (i)?? ?To a supervisor, the Compliance and Risk Management Department, or the General Counsel; or
    (ii)?? ?Through the NYU Shanghai Compliance and Risk Reporting Line by submitting an online?report?here; and/or
    (iii)? ? By emailing shanghai.compliance@nyu.edu.?

    These reporting services are available 24-hours a day, seven days a week. Reports can be submitted in Chinese and/or English. Questions, complaints or concerns can be reported through the online system (option (i) above) anonymously. You must provide sufficient information about the nature of the conduct and participants to enable a review to be undertaken. If you choose to remain anonymous, your anonymity will be maintained to the fullest extent possible subject to applicable law. All reports will be handled by the appropriate university officials promptly, seriously and fairly, regardless of the reporting approach you take.?


    NYU Shanghai policy protects anyone who files a report from retaliation. ?No one who in good faith files a report or who cooperates in good faith with an NYU Shanghai investigation of a complaint will be subject to intimidation, harassment, discrimination, or other retaliation or, in the case of employees, adverse employment consequence.

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    合規與風控熱線


    上海紐約大學致力于在日常運營中遵守適用的法律法規和上海紐約大學的規章制度。根據合規投訴制度,上海紐約大學鼓勵上海紐約大學社區成員或其他任何與上海紐約大學關聯或存在業務往來的人員對所發現的不端行為或合規與風險問題進行善意報告。此外,如您遇到有關合規與風險方面的疑慮、對上海紐約大學制度或最佳運營做法的疑問,我們鼓勵您通過下述方式向合規與風險管理部門提出。


    可報告的事例如下:


    ??? ?違反道德行為準則
    ??? ?利益沖突
    ??? ?財務和商業誠信問題
    ??? ?濫用大學資產或財產
    ??? ?研究相關的問題
    ??? ?進出口和貿易問題
    ??? ?雇傭問題
    ??? ?工作場所安全問題
    ??? ?運營風險

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    可通過如下方式提交報告:

    (i)?? ?可向報告人的上級、合規與風險管理部門、總法律顧問提出;或
    (ii)?? ?通過上海紐約大學合規與風控熱線于此在線提交;和/或
    (iii)?? ?發送電子郵件至 shanghai.compliance@nyu.edu


    報告服務時間為每周7天,每天24小時。報告語言可以為中文和/或英文。您的問題、投訴或疑慮可于在線系統(上述方式(ii))匿名提交。為保證審查順利開展,您應在報告中提供相關行為及人員的充足的信息。如果您選擇匿名,您將得以在最大可能范圍內保持匿名,并取決于適用的法律規定。無論您采取何種方式提交報告,所有的報告都將得到大學合適的工作人員及時,嚴肅且公允的處理。


    上海紐約大學的政策保護任何人不因其報告行為而遭受報復。善意報告或友好配合上海紐約大學調查某一項投訴事項的任何人,均應免受恐嚇、騷擾、歧視或其他報復行為,或對上海紐約大學雇員而言免于遭受不利的職業后果。

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