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Finseca Member Code of Conduct

Finseca is dedicated to creating a professional environment in which all individuals are treated with respect. Doing so is central to Finseca’s mission to advocate for the financial security profession, develop and grow its leaders, and promote the noble and necessary work our members do to provide financial and retirement security for the individuals, families, and businesses they serve. This Member Code of Conduct (“Code”) is designed to assist and enable members to engage with one another and other Finseca parties with professionalism, integrity, and respect. Specifically, it sets forth expectations for member conduct when interacting with other Finseca members, Finseca team, and/or other third parties with whom they come into contact as a result of their membership in or engagement with Finseca.

Members of Finseca affirm their endorsement of this Code and commitment to abide by its terms by joining Finseca and remaining a member.

Expectations

Members of Finseca are expected to:

  1. Transact all activities performed in connection with Finseca in accordance with Finseca’s bylaws and policies, including this Code, and applicable laws;
  2. Act in a respectful, professional manner, complying with the directions of the Finseca team at all times while participating in Finseca events or otherwise engaging with Finseca or its staff or agents;
  3. Refrain from activity that may be (or may be perceived to be) harmful, discriminatory, offensive, or disrespectful; and
  4. Not engage in activities harmful to the purpose or reputation of Finseca and/or the financial security profession.

Prohibited Behavior

Types of conduct Finseca considers inappropriate and in violation of this Code include, but are not limited to:

  • Discriminatory conduct on the basis of an individual’s race, color, religion, national original, sex, age, sexual orientation, gender identity, disability or any or any other characteristic protected by applicable law;
  • Offensive verbal comments, text messages, or other communications, such as those based on a person’s gender, physical appearance, sexual orientation or gender identity;
  • Sending, showing, or exhibiting in plain view any lewd or sexually explicit images, photographs, videos, comments, or other communications;
  • Threatening, intimidating, or hostile communications or acts, including stalking and the unauthorized taking of photos or audio or video recordings;
  • Electronic discrimination or harassment, including the taking or transmitting of offensive comments, photos, or audio or video recording via text, apps, email or other messaging systems;
  • Offensive, inappropriate, or unwelcome physical contact, including the touching of another’s body, the touching or display of one’s own body, or any similar contact;
  • Unwelcome romantic or sexual attention or advances;
  • Actual or threatened use of any physical force or weapon of any kind against any person; and
  • Advocating for or encouraging any of the above behavior.

Procedures for Reporting Violations of this Code

Members

If a Finseca member or another non-Finseca employee has been made to feel, discriminated against, or harassed, or has experienced behavior they feel is inappropriate in context of a Finseca event or otherwise sponsored program, please report it to Finseca’s President, Bonnie Godsman, Finseca’s Chief Operating Officer, Suzy Jacobs, or Chief Advocacy Officer, Armstrong Robinson through one of the following methods:

  • Email Bonnie Godsman (bgodsman@finseca.org), Suzy Jacobs (sjacobs@finseca.org), or Armstrong Robinson (arobinson@finseca.org)

Finseca Employees

Finseca staff should refer to the reporting procedures outlined in the Anti-Harassment Policy and Company Procedure in the Finseca Employee Handbook. All reports from Finseca staff will be addressed in accordance with such policy, which includes an investigation of complaints and appropriate action upon conclusion of such investigation.

Investigation and Consequences of Violations of this Code

Upon receiving a report of a potential violation, the report will be promptly forwarded to Finseca’s Chief Executive Officer (or to Finseca’s Vice President of Human Resources if the Chief Executive Officer is the subject of the report). If immediate action is required in response to harassment reported pursuant to this Code, the individual receiving such report may take such immediate action as they reasonably deem necessary or appropriate under the circumstances and shall promptly report such harassment and response to the Executive Committee.

In response to all reports of potential violations, the Executive Committee will employ such procedures and take such actions as it deems appropriate under the circumstances. Without limitation, all complaints reported under this Code will be reviewed by the Executive Committee or its designee, and all credible reports will be investigated to the extent appropriate under the circumstances, as determined by the Executive Committee.

If an individual has been found to have violated this Code, the Executive Committee will determine a course of action that may include but is not limited to:

  • A written reprimand or warning;
  • Immediate expulsion from the Finseca activity without refund;
  • Imposition of conditions to be met to participate in future Finseca events;
  • Restrictions from participating in future Finseca activities;
  • Suspension or Revocation of Finseca membership without refund.

Prior to taking action against a member, the member will be given an opportunity to be heard, either in writing or orally as determined by the Executive Committee. All determinations of the Executive Committee will be final.

Retaliation

Retaliation against anyone who chooses to make a good faith report under this Code is prohibited. Individuals who choose to make a report and subsequently experience retaliation are encouraged to report those retaliatory acts to Finseca’s President, Chief Operating Officer or Chief of Advocacy. The consequences for retaliation include but are not limited to those listed under consequences for violations of this Code.

Approved by the Finseca Board of Directors
June 8, 2023

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