| Summary: | 碩士 === 國立中央大學 === 財務金融學系碩士在職專班 === 94 === There were many corporate scandals taken place in succession recently in our country which caused the direct or indirect damages to the investors, affected the investment environments in our country and led the stock prices down to a new low point. The reasons for all those phenomenon are not only because the current regulations can not fully cover the activities of the business but it also has to do with the theory of corporate characters. When evaluating and examining the investment environment, we will note that it is impossible for us to eliminate the possible corporate scandals completely if we simply rely on the regulations. This has brought our attention to the importance of the management principles and the core value of a business which led it to success. Whether a business can make profit or not, it depends on, in addition to a correct investment decision, if the business has practiced the ethics activities and maintained a good co-existence relationship to the stakeholders, such as the employees, shareholders, communities, consumers, clients, suppliers, government and the media. Therefore, if we want to encourage a continuance in a long-term development of the economy, we should develop a more solid operation model for the business and the implementation of a Code of Conduct to a business is one of the keys to the reach this goal. This thesis, therefore, focuses on the contents of such a Code of Conduct by analyzing further the Examples of the Ethic Code of Conduct adopted by the Listing Companies and the OTC Companies promulgated by the Taiwan Stock Exchange corporation and the Code of Conduct implemented in Shin Kong Financial Holding Co., Ltd. which is hopefully can give some examples and references to other financial institutions in the future.
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