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About Us Quality Healthcare is the need of an increasingly discerning population the world over. In the quest for excellence, Aster DM Healthcare provides comprehensive healthcare of the highest quality in the geographies they operate in.

The seeds of the future were planted by Dr. Azad Moopen, a doctor turned entrepreneur, in 1987 in Dubai. Aster DM Healthcare has since grown exponentially to become one of the leading healthcare conglomerates of the Middle East and India in a quarter century.

By understanding the healthcare needs of the population they serve, the Group is now able to anticipate and exceed expectations. A continuous pursuit for technological improvements with highly skilled professionals, allow the Group to set benchmarks in the healthcare industry.

Headquartered in Dubai, the Aster DM network encompasses more than 13,000 employees, 1500+ doctors, more than 260 establishments of compassionate care and JCI accredited diagnostic centres.

In the meantime, brand consolidation within Aster DM network according to verticals will simplify the organogram of Aster DM Healthcare as the group progresses beyond healthcare on to education.The Aster Group in primary and secondary care with Clinics, Diagnostic Centres and Pharmacies; the Medcare Group in tertiary care with multi-speciality hospitals and clinics; Access Clinics the Budget Clinics,the Aster Medcity in quaternary care and EuroHealth in O&M consultancy. The MIMS Hospitals at Calicut and Kottakkal, are the preferred tertiary centres in North Kerala.

The iconic ‘Aster Medcity’ at Kochi marks the first of several quaternary care centres launched by the Group in India in May 2015 and is envisioned to become the focal destination for healthcare tourism across the world. On the other hand,the DM-WIMS Medical College and Hospital at Wayanad signals the first foray of the Group in to Medical Education.

WhistleBlower ASTER DM HEALTHCARE LIMITED

Preface

The Aster DM Healthcare Limited (“Aster DM”) believes in the conduct of the affairs of its constituents in a fair and transparent manner by adopting highest standards of professionalism, honesty, integrity and ethical behaviour.

Section 177 of the Companies Act, 2013 (“Act”) requires every listed company and such class or classes of companies, as may be prescribed, shall establish a vigil mechanism for directors and employees to report genuine concerns in such manner as may be prescribed.

Accordingly, this Whistle Blower Policy (“the Policy”) has been formulated with a view to provide a mechanism for employees of the Company to approach the Audit Committee of the Company and genuine concerns which affect the Company.

Definitions

The definitions of some of the key terms used in this Policy are given below. Capitalised terms not defined herein shall have the meaning assigned to them under the Code.

“Audit Committee” means the Audit Committee constituted by the Board of Directors of the Company in accordance with Section 177 of the Companies Act, 2013.

“Employee” means every employee of the Company (whether working in India or abroad), including the Directors in the employment of the Company.

“Investigators” or “the Investigator” mean those person(s) authorised, appointed, consulted or approached by the Audit Committee and includes the auditors of the Company and the police.

“Protected Disclosure” means any communication made in good faith that discloses or demonstrates information that may evidence unethical or improper activity.

“Aster DM” or “the Company” means Aster DM Healthcare Limited “Subject” means a person against or in relation to whom a Protected Disclosure has been

made or evidence gathered during the course of an investigation. “Whistle Blower” means an Employee making a Protected Disclosure under this Policy.

Scope

The Whistle Blower’s role is that of a reporting party with reliable information. They are not required or expected to act as investigators or finders of facts, nor would they determine the appropriate corrective or remedial action that may be warranted in a given case.

Whistle Blowers should not act on their own in conducting any investigative activities, nor do they have a right to participate in any investigative activities other than as requested by the Investigator or the Audit Committee or the Investigators.

Protected Disclosure will be appropriately dealt with by the Audit Committee.

Eligibility

All Employees of the Company are eligible to make Protected Disclosures under the Policy. The Protected Disclosures may be in relation to matters concerning the Company.

Disqualifications

While it will be ensured that genuine Whistle Blowers are accorded complete protection from any kind of unfair treatment as herein set out, any abuse of this protection will warrant disciplinary action.

Protection under this Policy would not mean protection from disciplinary action arising out of false or bogus allegations made by a Whistle Blower knowing it to be false or bogus or with a mala fide intention.

Whistle Blowers, who make three or more Protected Disclosures, which have been subsequently found to be mala fide, frivolous, baseless, malicious, or reported otherwise than in good faith, will be disqualified from reporting further Protected Disclosures under this Policy. In respect of such Whistle Blowers, the Company/Audit Committee would reserve its right to take/recommend appropriate disciplinary action.

Procedure

All Protected Disclosures should be addressed to the Chairman of the Audit Committee of the Company.The contact details of the Chairman of the Audit Committee are as under:

The Chairman,Audit CommitteeAster DM Healthcare LimitedAster Medcity, Kuttisahib RoadNear Kothad Bridge, South Chittoor P OCheranalloor, Kochi, Kerala.whistle.blower@dmhealthcare.com

Protected Disclosures should preferably be reported in writing so as to ensure a clear understanding of the issues raised and should either be typed or written in a legible handwriting in English, Hindi or in the regional language of the place of employment of the Whistle Blower.

The Protected Disclosure should be forwarded under a covering letter which shall bear the identity of the Whistle Blower. The Chairman of the Audit Committee shall detach the covering letter and discuss the Protected Disclosure with Members of the Audit Committee and if deemed fit, forward the Protected Disclosure to the Investigator of the Company for investigation.

Protected Disclosures should be factual and not speculative or in the nature of a conclusion, and should contain as much specific information as possible to allow for proper assessment of the nature and extent of the concern and the urgency of a preliminary investigative procedure.

The Whistle Blower must disclose his/her identity in the covering letter forwarding such Protected Disclosure. Anonymous disclosures will not be entertained by the Audit Committee as it would not be possible for it to interview the Whistle Blowers.

Investigation

All Protected Disclosures reported under this Policy will be thoroughly investigated by the Investigator of the Company who will investigate / oversee the investigations under the authorisation of the Audit Committee.

Protected Disclosures involving or relating to the Investigator which in the opinion of the Audit Committee may hamper the independence of the Investigator in conducting the investigation will be investigated by the Audit Committee itself.

The Investigator / Audit Committee may at its discretion, consider involving any Investigators for the purpose of investigation.

The decision to conduct an investigation taken by the Audit Committee is by itself not an accusation and is to be treated as a neutral fact-finding process. The outcome of the investigation may not support the conclusion of the Whistle Blower that an improper or unethical act was committed.

The identity of a Subject will be kept confidential to the extent possible given the legitimate needs of law and the investigation.

Subjects will normally be informed of the allegations at the outset of a formal investigation and have opportunities for providing their inputs during the investigation.

Subjects shall have a duty to co-operate with the Investigator / Audit Committee or any of the Investigators during investigation to the extent that such co-operation sought does not merely require them to admit guilt.

Subjects have a right to consult with a person or persons of their choice, other than the Investigator / Investigators and/or members of the Audit Committee and/or the Whistle Blower. Subjects shall be free at any time to engage counsel at their own cost to represent them in the investigation proceedings.

Subjects have a responsibility not to interfere with the investigation. Evidence shall not be withheld, destroyed or tampered with, and witnesses shall not be influenced, coached, threatened or intimidated by the Subjects.

Unless there are compelling reasons not to do so, Subjects will be given the opportunity to respond to material findings contained in an investigation report. No allegation of wrongdoing against a Subject shall be considered as maintainable unless there is good evidence in support of the allegation.

Subjects have a right to be informed of the outcome of the investigation. If allegations are not sustained, the Subject should be consulted as to whether public disclosure of the investigation results would be in the best interest of the Subject and the Company.

The investigation shall be completed normally within 45 days of the receipt of the Protected Disclosure.

Protection

No unfair treatment will be meted out to a Whistle Blower by virtue of his/her having reported a Protected Disclosure under this Policy. The Company, as a policy, condemns any kind of discrimination, harassment, victimization or any other unfair employment practice being adopted against Whistle Blowers. Complete protection will, therefore, be given to Whistle Blowers against any unfair practice like retaliation, threat or intimidation of termination/suspension of service, disciplinary action, transfer, demotion, refusal of promotion, or the like including any direct or indirect use of authority to obstruct the Whistle Blower’s right to continue to perform his duties/functions including making further Protected Disclosure. The Company will take steps to minimize difficulties, which the Whistle Blower may experience as a result of making the Protected Disclosure. Thus, if the Whistle Blower is required to give evidence in criminal or disciplinary proceedings, the Company will arrange for the Whistle Blower to receive advice about the procedure, etc.

The identity of the Whistle Blower shall be kept confidential to the extent possible and permitted under law. Whistle Blowers are cautioned that their identity may become

known for reasons outside the control of the Investigator /Audit Committee (e.g. during investigations carried out by Investigators).

Any other Employee assisting in the said investigation shall also be protected to the same extent as the Whistle Blower.

Investigators

Investigators are required to conduct a process towards fact-finding and analysis. Investigators shall derive their authority and access rights from the Audit Committee when acting within the course and scope of their investigation.

Technical and other resources may be drawn upon as necessary to augment the investigation. All Investigators shall be independent and unbiased both in fact and as perceived. Investigators have a duty of fairness, objectivity, thoroughness, ethical behavior, and observance of legal and professional standards.

Investigations will be launched only after a preliminary review which establishes that: o The alleged act constitutes an improper or unethical activity or conduct, ando Either the allegation is supported by information specific enough to be

investigated, or matters that do not meet this standard may be worthy of management review, but investigation itself should not be undertaken as an investigation of an improper or unethical activity.

Decision

If an investigation leads the Audit Committee to conclude that an improper or unethical act has been committed, the Audit Committee shall direct the management of the Company to take such disciplinary or corrective action as the Audit Committee deems fit. It is clarified that any disciplinary or corrective action initiated against the Subject as a result of the findings of an investigation pursuant to this Policy shall adhere to the applicable personnel or staff conduct and disciplinary procedures.

Reporting

The Investigator shall submit a report to the Audit Committee on a regular basis about all Protected Disclosures referred to him/her since the last report together with the results of investigations, if any.

Retention of documents

All Protected Disclosures in writing or documented along with the results of investigation relating thereto shall be retained by the Company for a minimum period of seven years.

Amendment

The Company reserves its right to amend or modify this Policy in whole or in part, at any time without assigning any reason whatsoever. However, no such amendment or modification will be binding on the Employees unless the same is notified to the Employees in writing.

Management A synergy of thought and action, propelled by a passionate team leads to excellence

T.J WilsonExecutive Director & Group Head – Governance & Corporate Affairs

A Chartered Accountant by qualification, T.J. Wilson is an expert healthcare administrator with more than two decades of experience in healthcare finance and administration, in India and the UAE. Mr. Wilson joined the Group as Financial Controller in 1998 and went on to become General Manager-Finance and Administration in 2003. He has been instrumental in transforming the vision of the Group in growing and becoming one of the largest healthcare providers in the Middle East and India.

Alisha MoopenExecutive Director & CEO – Hospitals & Clinics GCC

A graduate from the University of Michigan, Ann Arbor with a specialization in Finance and Accounting, Ms Alisha worked with Ernst & Young in England for seven years and qualified as a chartered accountant during the course of her training there. On returning to Dubai she joined Aster DM Healthcare as Finance Director for Medcare. After a year, she was promoted to oversee the corporate affairs & strategies for the whole group. This mainly involved developing underlying corporate functions which could be used as building blocks between and across the various verticals of Aster DM Healthcare, including areas such as training and development, appraisals, new business opportunities, setting up a central purchasing committee and other corporate initiatives. More recently, she has stepped into a more global role of overseeing the Gulf operations of Aster Hospitals and Clinics.

Sreenath P. ReddyGroup Chief Financial Officer (CFO)

A Chartered Accountant by qualification with an LLB degree, Sreenath Reddy has more than 14 years of experience across the Healthcare & Manufacturing industries. During his career, he has had a strong exposure in Strategic Planning, Growth & Expansion Strategies, Financial Restructuring including M&A, Contract Negotiations & Strategic Alliances, creating robust systems, Budgeting & Cost Management. He brings the necessary leadership presence to operate successfully at the executive level and ability to act as a credible advocate for Business internally and externally. As the Head of Finance he plays the crucial role of managing the finances of the Group.

RatneshGroup Chief Human Resources Officer (CHRO)

An MBA from California State University and an alumni of IMT-Ghaziabad, Ratnesh is a candidate Lead Assessor in People CMM trained by none other but Dr. Bill Curtis; he is also a Certified Black Belt in Six Sigma process improvement methodology and is an Authorized HR Process Auditor. The Group Chief Human Resources Officer has led the Human Capital Management function with passionate focus on diversity & meritocracy for the past two and a half decades across variety of industries including Healthcare, Consulting & IT Services, Automotive, Manufacturing & Hospitality.

Prof. K.K. VarmaGroup Chief Medical Officer

Prof K.K. Varma is retired Principal, Govt. Medical College, Calicut and has earlier served as the Director of MIMS Academy. He is a World renowned paediatric surgeon and an excellent academician. He is known for his academic achievements with 10 gold medals, and has been an orator of many memorial events. He is a visiting Professor to many universities inside and outside India. He is a life member of many professional organizations. Prof Varma was awarded many research grants and was a principal researcher for many researches in the field of paediatric surgery. His research works have been quoted in international text books and his continuous assessment technique in children Hirschsprung’s Disease has lauded internationally.

Dr. A. MalathiGroup Chief Quality Officer

With over 15 years of experience in Medical services, Quality & Education, Dr. Malathi is responsible for implementing & monitoring Quality standards & protocols across all Aster DM Health care verticals both in India & overseas viz Hospitals, Medical Centers & Pharmacy. She provides training & support to drive JCI & NABH accreditation across the group as well as playing a key role in ensuring continuous quality improvement. She oversees the development of a comprehensive quality and patient safety program with evidence based clinical guidelines. Her role also involves incorporating proactive Improvement Risk Assessment, Management, and

Infection Control practices across the group. Dr. Malathi is also a NABH Principal Assessor & faculty member for the Program of Implementation of Quality Standards.

Mukta AroraGroup Chief Information Officer (CIO)

Mukta has a Masters degree from Birla Institute of Management Technology, Delhi and is member of HIMSS and HL7. Prior to joining us, Mukta was the Vice President & Global Head – Healthcare at HCL Technologies. She brings in over 2.5 decades of experience in serving organizations globally and in India in various segments of healthcare industry including as CIO of Apollo Hospitals (India) and El Moisheer Hospital (KSA), Vice President at Dell Systems & Computer Science Corp. and Client Partner at NHS (UK). Mukta has diverse experience in IT strategy & governance, enterprise architecture, development and implementation of systems to support clinical, financial, and digital (including social, mobile, analytics, cloud and interoperability) systems for large integrated health systems. Mukta has also lead implementations of in-patient and ambulatory electronic health records, clinical integration, claims processing & revenue cycle solutions and business applications in her previous roles.

Kartik ThakrarFinancial Controller – GCC

A Bachelor of Commerce from University of Calicut, India and a Chartered Accountant from the Institute of Chartered Accountants of India, Mr. Kartik began his association with Aster DM Healthcare in 2003 as the manager for Finance and supervised the Finance and Accounting operations of the organisation. Mr. Kartik is extensively involved in the planning and execution process, especially in bringing Private Equity partners to the group. He is responsible for the finance and accounting operations including risk management, finance reporting, tax planning and budgeting process. Today, he is an integral part of the senior executive team at Aster DM Healthcare and is involved in all strategic decisions including project feasibility, business

acquisitions, capital investments, internal process and systems review, development of new business models and investor relations.

Jobilal M. VavachanAVP and CEO – Aster Pharmacy

A graduate in pharmacy from the University of Bangalore and pharmacist by profession, Jobilal possesses thorough operational knowledge in pharmacy retailing. Furthermore, he has a keen interest in Training & Development of Human Resources. Starting his career in the pharmaceutical industry in India, Jobilal moved to UAE in 1996 and became a part of Aster DM Healthcare in 2005 as Senior Manager – Operations for Pharmacy division. His association with the pharmacy division witnessed a colossal growth in the pharmacy network with more than 160

Aster Pharmacies operated worldwide. He strives to continue and contribute to the evolution and success of A DM Healthcare in the future.

Ala AttariVP & CEO – Medcare Hospitals and Clinics

Ala Attari has several qualifications from leading universities in United States of America in the field of administration, HR and project management. Ala has over 20 years of experience in the field of hospital management and healthcare administration. He has initiated numerous projects for leading hospitals in the US and UAE and has been a consultant in the field of operations management and radiology applications. As Head of the Medicare vertical, he is responsible for the operations, growth and expansion of the vertical.

Karthik RajagopalChief Executive Officer – Aster Hospitals & Clinics, GCC

Karthik holds a Master’s Degree in Management from Asian Institute of Management, Manila and also has an Executive Management degree from IIM, Bangalore. Prior to joining Aster DM Healthcare, Karthik was the Regional Director – Southern India at Fortis Healthcare Ltd. Karthik was also responsible for Le Femme (Women & Children) vertical and Hospitals in Mauritius at Fortis Healthcare and also served on the Board of Lanka Hospitals Corporation. He brings in about 2 decades of experience in serving organizations in India largely in healthcare industry. Karthik’s experience spans across operations management, marketing including brand management and integrated marketing communications, strategic alliances & growth management, patient engagement and Clinician relations management.

Dr. Harish PillaiCluster Head for Kerala & CEO – Aster Medcity

A senior healthcare professional with an outstanding track record in growing global hospital business year on year and shaping the market trends with pioneering work in healthcare services in multiple geographies. He has been highly successful in setting up healthcare facilities, streamlining operations and enhancing profitability. He is an expert in the Healthcare industry and played significant roles during the last decade in the development of Healthcare sector in India and MENA Regions and created new industry benchmarks.

Dr Turki GasimCEO – Sanad HospitalDr. Turki Gasim graduated from King Faisal Specialist Hospital and Research Center, Kingdom of Saudi Arabia (KSA) and did a fellowship in Maternal Fetal Medicine in British Columbia University, Canada. A healthcare leader with more than twenty years’ experience in the healthcare field, Dr Gasim has been actively involved in leading various healthcare improvement projects. He has more than eight years’ experience in planning and managing (government and for profit) hospitals in KSA as Chief Executive Officer and Chief Medical Officer. His key specialty has been in transforming facilities to improve the quality and safety of services provided, and to improve the utilization of resources.

Rajesh WarrierCompany Secretary

A Fellow Member of Institute of Company Secretaries of India with more than a decade of experience in corporate compliance management of listed and unlisted companies, Mr. Rajesh has been working with Aster DM Healthcare since 2013. Prior to joining the Group, he was the Company Secretary and Compliance Officer of Muthoot Finance Limited. He has experience overseeing compliance functions pertaining to initial public offering of securities, private equity placements, corporate restructuring, corporate laws, securities laws, corporate governance initiatives, and foreign exchange laws & regulations.

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Aster DM Healthcare today provides quality healthcare services to patients in the MENA and Asia Pacific region. Our global network of 16 Hospitals, 85+ Clinics and 200 Pharmacies are equipped with the latest technology and an experienced medical staff.

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Our Values

We, at Aster DM Healthcare, abide by a core set of values that guide our organisational behavior and decision making, and that provide us with the ethos that are imbibed in every Asterian. Click on the link below to view all the values that are at the heart of this organisation.

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Our Journey

In 1987, Aster DM Healthcare started off as a single clinic under the leadership of Dr. Azad Moopen. It has been 28 years since then and Aster DM Healthcare has evolved into one of the largest integrated healthcare providers in the world offering a diverse portfolio of services.

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