May 2016

Topics covered (Yellow highlight indicates currently covered by [our company] Code of Conduct) / % Financial Services - US / % All Companies
(149 codes analyzed) / Policy referenced in [our company] Code of Conduct / [Our Company] Code of Conduct Page Number / Stakeholders: Please Provide Comments
e.g., Does topic require inclusion in Code? Is topic
Covered elsewhere (other policy, etc.)?
Anti-boycott / 20 / 37
Anti-bribery / 70 / 77 / No policy reference / 13
Anti-money Laundering / 30 / 16
Antitrust and Fair Competition / 30 / 77 / 7-105 / 12
Board Memberships / 50 / 42 / 3-203 / 10
Communicating with External Parties / 40 / 39 / 7-501, 7-502, 2-202, 2-306 / 19
Computer Use / 60 / 69 / 6-300 / 16
Conflicts of Interest / 80 / 90 / 3-203
3-206
3-202 / 10
13
14
Data Privacy – third parties / 90 / 85 / 8-500 / 17
Data Privacy - employees / 40 / 47 / 6-300 / 16
Discrimination / 80 / 85 / 3-201 / 9
Environment / 40 / 66 / No policy reference / 20
Export-Import Control / 10 / 42
General Compliance with Laws and Regulations / 90 / 77 / No policy reference / 12
Gifts and Entertainment / 50 / 69 / 3-202, 9-112 / 14, 15
Government Customers Contracting / 10 / 39
Harassment / 80 / 82 / 3-201 / 9
Insider Trading / 50 / 78 / 3-206 and 7-115 / 13, 18
Intellectual Property / 70 / 77 / 8-300 / 16
Internal Accounting Controls / 80 / 76
Investigations Process / 50 / 53 / 1-152 / 7
Labor Practices / 10 / 24
Manager Responsibility / 50 / 34 / 4-101 / 4
Non-exclusivity / 50 / 58
Non-retaliation/Whistleblower / 40 / 51 / 1-152, 3-214 / 7
Outside Employment Activities / 40 / 44 / 3-203 / 10
Physical Assets / 70 / 78 / 6-300 / 16
Political Activity / 40 / 47 / 3-203, 7-602,7-605, Procedure 7-600 / 20
Raising Issues and Concerns / 70 / 58 / No policy reference / 1, 4, 6
Records Management and Legal Holds / 40 / 47 / 7-710 / 17
Selection and Use of Third Parties/Procurement / 40 / 44
Social Media / 10 / 17 / 2-306 / 9
Substance Abuse / 40 / 53 / 3-219 / 11
Truth in Advertising / 20 / 36
Violations/Disciplinary Measures / 80 / 80
Wages / 10 / 21
Waiver Provision / 60 / 54 / No policy reference / 6
Workplace Health and Safety / 40 / 44 / 3-210, 3-219 / 11

-  Additional topics requiring coverage: [add here]