Attached files
file | filename |
---|---|
EX-14.01 - FREEDOM HOLDING CORP CODE OF ETHICS AND BUSINESS CONDUCT - Freedom Holding Corp. | frhc_ex14-1.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of
1934
Date of
Report (Date of earliest event reported): July 25, 2018
|
||||
FREEDOM HOLDING CORP.
|
||||
(Exact
name of registrant as specified in its charter)
|
||||
|
|
|
|
|
Nevada
|
|
001-33034
|
|
30-0233726
|
(State
or other jurisdiction of incorporation)
|
|
Commission
File
Number)
|
|
(IRS
Employer
Identification
No.)
|
|
|
|
|
|
77/7 Al
Farabi Ave., “Essentai Tower” BC, Floor 3, Almaty,
Kazakhstan
|
||||
(Address
of principal executive offices)
|
||||
|
||||
050040
|
||||
(Zip
code)
|
||||
|
||||
(801)
355-2227
|
||||
(Registrant’s
telephone number, including area code)
|
||||
|
||||
N/A
|
||||
(Former
name or former address, if changed since last report.)
|
Check
the appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligation of the registrant
under any of the following provisions (see General Instruction A.2
below):
□
|
Written
communications pursuant to Rule 425 under the Securities Act (17
CFR 230.425)
|
|
|
□
|
Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
|
|
|
□
|
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17
CFR 240.14d-2(b))
|
|
|
□
|
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17
CFR 240.13e-4(c))
|
Indicate
by check mark whether the registrant is an emerging growth company
as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of
1934 (§240.12b-2 of this chapter).
Emerging
growth company □
If an
emerging growth company, indicated by check mark if the registrant
has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided
pursuant to Section 13(a) of the Exchange Act. □
Item 5.05.
Amendments to the Registrant’s Code of Ethics, or Waiver of a
Provision of the Code of Ethics
On
July 25, 2018, the board of directors (the “Board”) of
Freedom Holding Corp. (the “Company”) adopted a new
Code of Ethics and Business Conduct (the “Code”), which
governs the conduct of all directors, officers and employees of the
Company and its subsidiaries. The Company’s prior Code of
Ethics was adopted a number of years ago. The Board believes the
new Code is more robust and detailed and better reflects the
Company’s current practices and the current standards in
public company corporate governance.
The
new Code provides enhanced descriptions of the types of situations
that would or may involve a conflict of interest. It also provides
more detailed guidelines with regard to determination of conflicts
of interest, the process for pre-approval of such transactions and
guidance on duties to directors, officers and employees within the
context of corporate opportunities. The new Code expands the
Company’s commitment to legal and disclosure compliance, and
more fully addresses the protection and proper use of Company
assets. The new Code imposes additional responsibilities upon
directors, officers and employees with regard to preparation and
verification of the Company books, records and accounts. The new
Code implements more detailed standards for reporting and
enforcement of violations of the new Code, procedures for obtaining
waivers of Code violations and a prohibition against retaliation
against parites who make good faith reports of known or suspected
acts of misconduct or other violations. The new Code also
encourages employees to discuss observed violations with their
supervisors and the Company’s President, or when one is
appointed, the Company’s Chief Compliance
Officer.
The
foregoing summary of the changes between the Company’s prior
Code of Ethics and the new Code is qualified in all respects by the
full text of the new Code, which is filed herewith as Exhibit
14.1.
Item 9.01
Financial Statements and Exhibits
Exhibit No.
|
|
Exhibit Name
|
|
Freedom
Holding Corp Code of Ethics and Business Conduct
|
SIGNATURE
Pursuant to the
requirements of the Securities Exchange Act of 1934, the registrant
has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
|
FREEDOM HOLDING
CORP.
|
|
|
|
|
|
|
|
Date:
July 27, 2018
|
By:
|
/s/
Evgeniy Ler
|
|
|
Evgeniy
Ler
|
|
|
Chief
Financial Officer
|