Finseca Member Code of Conduct

Finseca is dedicated to creating a professional, safe, and inclusive environment in which all individuals are treated with respect and dignity. 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 stakeholders with professionalism, integrity, and respect. It sets forth expectations for member conduct when interacting with other Finseca members, Finseca team members, event participants, speakers, sponsors, vendors, and any other third parties with whom they come into contact as a result of their membership in or engagement with Finseca, whether in person, online, or via Finseca-supported platform 

By joining Finseca, renewing membership, registering for Finseca events, or otherwise engaging in Finseca programs, members affirm that they have read, understand, and agree to comply with this Code.  

Expectations 

Members of Finseca are expected to: 

1. Conduct all activities performed in connection with Finseca in accordance with applicable laws and regulations, Finseca’s bylaws, this Code, and all other Finseca policies. 

1. Act in a respectful, professional, and collegial manner, including complying with reasonable directions of the Finseca team while participating in Finseca events (in person or virtual) or otherwise engaging with Finseca or its staff, contractors, or agents. 

1. Refrain from activity that may be, or may be reasonably perceived to be, harmful, discriminatory, harassing, offensive, or disrespectful. 

1. Not engage in activities harmful to the purpose, reputation, or operations of Finseca and/or the financial security profession. 

1. Promote a culture of inclusion by being considerate of the diversity of backgrounds, identities, perspectives, and experiences represented within Finseca’s community. 

Prohibited Behavior 

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

• Discriminatory conduct, harassment, or bias, whether verbal, nonverbal, or physical on the basis of an individual’s race, color, religion, creed, national original, sex, age, sexual orientation, gender identity, disability, veteran status or any or any other characteristic protected by applicable law; 

• Offensive or derogatory verbal comments, written statements, social media posts, text messages, or other communications, including those based on a person’s protected characteristics, physical appearance, or personal identity.  

• Sending, displaying, or exhibiting in plain view or via electronic means any lewd, sexually explicit, or otherwise inappropriate images, photographs, videos, comments, or other communications. 

• Threatening, intimidating, abusive or hostile communications or acts, including stalking, following, or the unauthorized taking of photos, screenshots, or audio or video recordings of another individual where there is a reasonable expectation of privacy 

• Electronic discrimination, bullying, or harassment, including the creation, posting, or transmission of offensive or demeaning comments, images, or recordings via text, apps, email, social media, event platforms, 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 of sexual or aggressive nature; 

• Unwelcome romantic or sexual attention or advances, including repeated requests for social contact, sexual innuendo, or propositions after clear indication that such attention is unwelcome.  

• Actual or threatened use of any physical force or weapon of any kind against any person or any conduct that reasonably could be perceived as placing another person in fear for their safety. 

• Advocating for, encouraging, or conducting any of the above behaviors. 

• Any other conduct that, in Finseca’s reasonable judgement, materially disrupts Finseca activities or undermines a safe and respectful environment.  

Procedures for Reporting Violations of this Code 

Members 

If a Finseca member or another non-Finseca employee has been made to feel unsafe, discriminated against, harassed, or has experienced behavior they feel is inappropriate in context of a Finseca event or program, they are encouraged to report it as soon as reasonably possible. Reports can be made to Finseca’s CEO, Marc Cadin, President, Bonnie Godsman, and Finseca’s Executive Vice President of Operations, Amanda Bickley through the following methods: 

• Email Amanda Bickley (abickley@finseca.org), Bonnie Godsman (bgodman@finseca.org), or Marc Cadin (mcadin@finseca.org)  

• In person or by phone to any of the above Finseca leaders during an event, who will ensure the concern is promptly routed for review. Individuals may choose to identify themselves or report anonymously to the extent permitted by applicable law and technology; however, anonymous reports may limit Finseca’s ability to investigate and respond. 

Finseca Employees 

Finseca staff should follow 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 those policies, which include an investigation of complaints and appropriate corrective action upon conclusion of such investigation. 

Investigation and Consequences of Violations of this Code 

Upon receiving a report of a potential violation of this Code, the report will be promptly forwarded to Finseca’s Chief Executive Officer or their designee (or to Finseca’s human resources team if the CEO is the subject of the report). If immediate action is required in to address a reported concern, the individual receiving the report may take such interim measures as they reasonably deem necessary or appropriate under the circumstances (for example, removing a participant from a session or contacting security) and shall promptly report such harassment and response to the Executive Committee or its designee 

In response to all reports of potential violations, the Executive Committee (or its designee) will employ such procedures and take such actions as it deems appropriate under the circumstances, which may include preliminary review, a fact-finding investigation, and consultation with legal counsel as needed. All creditable reports will be reviewed and investigated to the extent appropriate under the circumstances, while striving to maintain confidentiality to the extent practicable and consistent with a thorough review.  

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 removal or expulsion from the Finseca activity or event, without refund; 

• Imposition of conditions that must be met to participate in future Finseca events or programs; 

• Restrictions or limitations from participating in future Finseca activities; 

• Suspension or revocation of Finseca membership without refund. 

Finseca also reserves the right, where appropriate, to notify an individual’s employer, licensing body, or other relevant authority, consistent with applicable law. 

Prior to taking action against a member, the member will be given an opportunity to be heard, in writing or orally, as determined by the Executive Committee. All determinations of the Executive Committee regarding Code enforcement will be final and may be communicated to affected parties as appropriate 

Retaliation 

Retaliation against anyone who, in good faith, makes a report, participates in an investigation, or otherwise raises a concern under this Code is strictly prohibited. Retaliation includes any adverse action taken against an individual for reporting a concern or participating in a process under this Code.  

Individuals who believe they have experienced retaliation are encouraged to report those retaliatory acts to Finseca’s Chief Executive Officer, Executive Vice President of Operations, or any human resources leading using the same reporting channels listed above. The consequences for retaliation include, but are not limited to, the same range of corrective actions listed under “Investigation and Consequences of Violations of this Code.”  

Approved by the Finseca Board of Directors on June 8, 2023