![]() |
Financial Officer's Code
of Business
Conduct
|
STATEMENT OF POLICY | 3 | |
Purpose and Goals | 3 | |
1.0 | SCOPE | 3 |
2.0 | POLICY | 3 |
2.1 Principles and Practices. | 3 | |
2.2
Waiver.
|
3 | |
2.3 Compliance and Accountability. | 4 | |
3.0 | APPENDIX A: DESIGNATED EMPLOYER REPRESENTATIVE | 5 |
4.0 | APPENDIX B: ACKNOWLEDGEMENT AND CERTIFICATION OF RECEIPT OF POLICY | 6 |
![]() |
Financial Officer's Code
of Business
Conduct
|
1.0
|
SCOPE
|
2.0
|
POLICY
|
2.1
|
Principles
and Practices.
|
(1)
|
conduct
him or herself in an honest and ethical manner and avoid any actual or
apparent conflict of interest as defined in the Company’s Standards of
Business Conduct;
|
(2)
|
in
the case of the Senior Financial Officers, report to the Audit Committee
of the Board any conflict of interest that may arise, and any transaction
or relationship that reasonably could be expected to give rise to a
conflict, and in the case of all others, to senior
management;
|
(3)
|
provide,
or cause to be provided, full, fair, accurate, timely, and understandable
disclosure in reports and documents that the Company files with, or
submits to, the Securities and Exchange Commission and in its other public
communications;
|
(4)
|
comply,
and take all reasonable actions to cause others to comply, with applicable
governmental laws, rules, and regulations;
and
|
(5)
|
in
the case of the Senior Financial Officers, promptly report violations of
this Code to the Audit Committee, and in the case of all others, to senior
management.
|
2.2
|
Waiver.
|
![]() |
Financial Officer's Code
of Business
Conduct
|
2.3
|
Compliance
and Accountability.
|
![]() |
Financial Officer's Code
of Business
Conduct
|
3.0
|
APPENDIX
A: DESIGNATED EMPLOYER
REPRESENTATIVE
|
![]() |
Financial Officer's Code
of Business
Conduct
|
4.0
|
APPENDIX
B: ACKNOWLEDGEMENT AND CERTIFICATION OF RECEIPT OF
POLICY
|
●
|
I
have received a copy of the latest Deep Down Financial Officer’s Code of
Business Conduct Policy (Document Number BODPOL-CBC-002) dated
4/14/2010.
|
●
|
I
have read or shall read the current Deep Down Financial Officer’s Code of
Business Conduct Policy BODPOL-CBC-002dated
4/14/2010.
|
●
|
I
understand that my employer, Deep Down, adheres to all of its policies,
and that I agree to abide by those policies, as well as any new or revised
policies made available to me, as is the right of Deep Down to do from
time to time.
|
●
|
I
understand that this Deep Down Financial Officer’s Code of Business
Conduct Policy is not a contract, either expressed or implied, between my
employer, Deep Down, its affiliates, subsidiaries, and me, and unless
superseded by an executed contract, it does not alter the “at will” nature
of my employment with Deep Down or its
subsidiaries.
|
●
|
I
understand that by my signing this Acknowledgement and Certification of
receipt of Policy and associated information, that I am not being
threatened or coerced in any way to sign this document, in fear of losing
my job if I am an existing employee of Deep
Down.
|
_____________________________ | _____________________________ |
Signature of Employee | Social Security Number of Employee |
(Last four digits) | |
_____________________________ | _____________________________ |
Printed Name of Employee | Date |