The Board of Immuron is accountable to
the shareholders and other stakeholders for the performance of the
Company. To this end, the Board is committed to maintaining the highest
ethical standards and best practice in the area of corporate governance
to ensure that the Company's business is conducted in the best
interests of all concerned.
The Company has prepared and
implemented practices that address all the Principles set out by the
ASX Corporate Governance Council. These practices will be reviewed
regularly to ensure their relevance and application to the Company's
responsibilities and activities.
By adopting these Principles, the Board seeks to create value and provide accountability commensurate with the risks involved.
ASX Principle 1: Lay solid foundations for management and oversight.
Role of the Board.
The
primary role of the Board is to provide effective governance over the
Company's affairs to ensure the interests of the shareholders are
protected and the confidence of the investing market is maintained
whilst having regard for the interests of all the stakeholders.
This
role is exercised by the Board, as whole, and each director exercising
diligent attention to the affairs of the Company. In particular the
Board is responsible for:
Setting the Company's values and standards of conduct and ensuring that these are adhered to,
Providing strategic direction and approving corporate strategic initiatives,
Oversight of the Company, including its control and accountability systems,
Appointing and removing the chief executive officer,
Reviewing and ratifying systems of risk management and internal compliance and controls, codes of conduct and legal compliance,
Monitoring senior management performance and ensuring appropriate resources are available,
Approving and monitoring the progress of major capital expenditure, capital management and acquisitions and divestitures, and
Approving and monitoring financial and other reporting to shareholders and regulatory authorities.
To
ensure that all new Board members understand what is expected of them,
in addition to their obligations under the Corporation Law, the Company
provides them with a letter setting out the key terms and conditions
relating to their appointment.
Role of Management.
Through the chief executive officer, management is responsible to the Board for the;
Development and implementation of agreed corporate strategy and performance objectives,
Undertaking the day to day activities of the Company,
Identifying
all matters to be included in a risk profile of the Company and
ensuring that effective risk management systems are implemented and
adhered to,
Observing the code of conduct, and
Ensuring that the
Board is fully informed of all matters which may have a material impact
on the ability of the Company to meet its obligations.
ASX Principle 2: Structure the Board to add value.
Board Composition.
The
Board determines its size and composition, subject to the limits
imposed by the Company's Constitution, which requires a minimum of
three and a maximum of ten. Currently there are four (4) directors.
The
Company will at all times bear in mind the need to have a majority of
independent directors. An independent director is independent of
management and free of any business or other relationship that could
materially interfere with the exercise of their unfettered and
independent judgment.
Notwithstanding this, the Board recognises
that in a small, specialised industry such as biotechnology, it is very
desirable that board members have some industry background and
therefore may not be completely independent.
Currently all non-executive directors, including the Chairman, are considered to be independent except Mr. Nudel.
The skills, experience and expertise of each director is set in the Directors Report in the annual report.
The
Board collectively and each director individually may take, at the
expense of the Company, such independent professional advice as is
considered necessary to fulfill their relevant duties and
responsibilities.
Board Committees
The Board has
established two committees, Audit & Risk and Science, to assist in
the execution of its duties and to allow detailed consideration of
complex issues.
The Company does not have a separate nomination
committee or a remuneration committee as these tasks are carried out by
the full Board. The Board believes that, at this stage of the Company's
development, these functions are best handled by the full Board. The
Board will establish other committees, either permanent or ad hoc, as
required by the Company's future development. In addition and for the
reasons mentioned, the Board does not currently have a formal policy on
selecting new directors.
Audit & Risk Management Committee.
The Committee is dedicated to independently:
Verifying and safeguarding the integrity of the company’s reporting,
Identifying, assessing and monitoring management applications of risk minimisation procedures, and
Informing the Board of material changes to the Company’s risk profile.
The Board has given the Committee all the necessary powers to carry out the above.
Science Committee.
The
primary objective of the Committee is to provide technical support to
management in the conduct of the Company's research programs and to
critically review the research findings.
This is achieved by
undertaking regular meetings with management and providing access to a
wide range of scientific knowledge including a number of technical
advisors retained by the Company.
ASX Principle 3: Promote ethical and responsible decision- making.
The Company has adopted the Australian National Health and Medical Research Council guidelines on ethical research practices.
Code of Conduct.
Anadis
is guided in all its activities by respect for all its stakeholders
including employees, shareholders, contractors, customers and suppliers.
The
Board has articulated the Company's requirements for standards of
conduct, from directors and senior management, based on the following
principles;
Directors are subject to re-election every three years,
The Chairman must be independent,
Conflict
of interest must be avoided wherever possible. If, for any reason, a
potential conflict arises, the director/employee must declare the
conflict and absent themselves from all discussions and decisions on
the relevant matter.
Employees and directors must respect the
confidentiality of the Company's assets, including intellectual
property, both during and after employment,
The Company will comply with all relevant legislation and regulation,
The Company will deal fairly with all its stakeholders, and
The Company will promote a culture of ethical behavior, encouraging openness amongst employees, directors and contractors.
Trading in Company Securities.
The
Company's policy is that there be no dealings in the Company’s
securities, whether in permitted periods or at any other time:
When a designated officer is in possession of inside information, or
Where the dealing is for short-term or speculative gain, or
Within a period that is 72 hours prior to and 48 hours after any announcement.
Apart
from these restrictions a designated officer can, unless there are
special circumstances, only deal in the Company’s securities in the
following periods:
Within the period commencing 48 hours after
the announcement of the half year and full year financial results
respectively and ending 1 month after each of those announcements.
Within
the period commencing 48 hours after the dispatch of the annual report
made to shareholders through to one month after the annual general
meeting.
Each director has entered into an agreement with the
Company to provide information to allow the Company to notify the ASX
of any share transactions within five business days.
ASX Principle 4: Safeguard integrity in financial reporting.
In
addition to the financial review functions of the Audit & Risk
Committee referred to above, the Board regularly reviews the monthly
financial reports. It also requires the Chief Executive Officer to
provide written assurances in respect to the accuracy and compliance of
the annual and half yearly published financial statements. Due to the
size of the Company, there is not a separate role for a Chief Financial
Officer and, as a result, the Chief Executive Officer fills that role.
The
Audit & Risk Committee has its own Charter, four non-executive
members (three of whom are independent). It is chaired by an
independent member who is not the chairman of the Board. Details of the
number of meetings are set out in the Directors Report in the annual
report.
The auditor provides a certificate to the Company
confirming their independence. Rotation of the auditor has proceeded as
required by Law or Regulation. The Company currently has no intention
of replacing the existing auditors, however should this arise it will
made a selection following a competitive process. Non audit work is
arranged based on cost and the needs of the Company.
ASX Principle 5: Making timely and balanced disclosure.
As
a company whose shares are traded on the Australian Stock Exchange
(ASX), Anadis is very conscious that it has an obligation to ensure
that the market is both fully and accurately informed about material
matters by timely and balanced disclosure.
The information
disclosed will be factual and presented in a clear and balanced way.
The Company has prepared and issued to all senior staff a written
policy document on this matter and requires strict adherence to this
policy. Continuous disclosure is a standard agenda item at all Board
meetings.
ASX Principle 6: Respect the rights of shareholders.
The Company is committed to respecting the rights of shareholders and facilitating the effective exercise of those rights.
This is achieved by;
Effective and regular communications including a regular newsletter and modern up to date website.
Providing access to timely, balanced and understandable information about the Company and its current and future direction, and
Facilitating easy participation at general meetings.
The
Company's external auditor attends each general meeting and is
available to answer any questions with regard to the conduct of the
audit and their report.
ASX Principle 7: Recognise and managing risk.
In
addition to the risk review functions of the Audit & Risk
Management Committee referred to above, the Board receives regular
written reports from the Science Committee and the Chief Executive
Officer covering all matters within their respective portfolios.
As
part of its Charter, the Audit & Risk Management Committee has
prepared an annual checklist of risk management and internal control
matters which it systematically reviews with senior staff including
external consultants. The Chief Executive Officer also provides a
written statement that the control systems are operating efficiently
and effectively in all material respects.
In addition to the usual business risks, the particular risks associated with the Company's activities are:
long lead times and high costs associated with biotech R&D ,
the low success rate of biotech research in Australia,
stringent health regulations which are subject to regular change,
the high level of funding required over a long period of time, and
securing intellectual property.
ASX Principle 8: Encourage enhanced performance.
To
ensure that the directors and key executives are equipped to develop
the Company, the directors are committed to fairly review and actively
encourage enhanced board and management effectiveness.
This will be achieved by informing, training, and evaluating individual and collective performance regularly and fairly.
Qualitative
indicators are established for board members (including their roles on
committees) and key executives and their performance will be regularly
reviewed against these indicators. This is an ongoing process achieved
through the completion of questionnaires and peer assessment.
ASX Principle 9: Remunerate fairly and responsibly.
The
Board notes the Corporate Governance Council recognises that, for small
companies, the efficiencies expected to flow from a formal committee
structure may not be apparent. The Board agrees with this view.
The
full Board will exercise these responsibilities and set the policies
for remuneration of directors and senior managers so as to comply with
the Corporation Act, accounting standards and the ASX Listing Rules.
Remuneration for executive directors and staff is determined by
reference to market rates. From time to time employees are offered
Options under plans previously agreed by shareholders. In a company at
this stage of its development, the only meaningful performance target
is the share price and the exercise price for such options are set well
in advance of where the shares are trading at the time of issue and,
for executives, usually have a two year vesting period.
As the
number of options on issue at anyone time is low and the price and
exercise periods differ, the Board considers that the exercise of such
options will have little or no effect on the Company's share price or
Earnings Per Share.
In setting remuneration for non-executive directors, the Board will use the following principles;
Non-executive
directors shall be paid fees and superannuation plus supplements for
committee work within the aggregate amount set by shareholders in
general meeting (last set in 2005 at $350,000 for cash remuneration),
Non-executive
directors participate in options arrangements subject to shareholder
approval. The Board does not accept that options should not be given to
non-executive directors as it believes (and shareholders have
previously agreed) that in an R&D company their particular
expertise is vital to the team effort and therefore options are a valid
incentive,
Non-executive directors retirement payments are limited to compulsory employer superannuation, and
Bonuses will not be paid to non-executive directors.
Details of remuneration paid to directors and senior staff is set out in the Directors Report in the annual report.
ASX Principle 10: Recognise the legitimate interests of stakeholders.
The
Board is committed to delivering maximum share value to the
shareholders while maintaining high standards of customer service and
employment. In addition, the Company aims to achieve full compliance
with relevant legislation and contribute to the wider community and
therefore all stakeholders.
This will be achieved by the application of the principles set out in this Corporate Governance Statement.
Revised by the Board of Anadis limited 13 June, 2006.