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NYSID CORPORATE COMPLIANCE PLAN March 20192TABLE OF CONTENTS TABLE OF CONTENTS .................................................................................................................3 OVERVIEW

How to fill out business conduct and ethics

How to fill out business conduct and ethics

1. Read the company's code of conduct and ethics policy thoroughly.
2. Understand the key components of the policy such as anti-discrimination, conflicts of interest, confidentiality, and compliance with laws and regulations.
3. Ensure that you are familiar with the consequences of not following the policy.
4. Seek clarification from HR or the compliance officer if you have any questions or concerns.
5. Sign the acknowledgment form indicating that you have read and understood the policy.
6. Regularly review and update your knowledge of the company's code of conduct and ethics.

Who needs business conduct and ethics?

1. Employees at all levels of the organization
2. Managers and executives
3. Business partners and contractors
4. Customers and suppliers
5. Shareholders and investors

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What is business conduct and ethics?

Business conduct and ethics refer to the moral principles and standards that guide the behavior of individuals and organizations in the business environment, ensuring accountability and integrity.

Who is required to file business conduct and ethics?

Generally, employees, executives, and directors within a company are required to file business conduct and ethics, especially if they are in positions that involve decision-making or potential conflicts of interest.

How to fill out business conduct and ethics?

To fill out business conduct and ethics, individuals typically need to complete a designated form provided by their organization, providing necessary personal and professional information and answering questions regarding potential conflicts of interest or ethical dilemmas.

What is the purpose of business conduct and ethics?

The purpose of business conduct and ethics is to promote a culture of honesty and integrity within organizations, ensuring compliance with laws and regulations, and fostering trust among stakeholders.

What information must be reported on business conduct and ethics?

Individuals may need to report information such as outside employment, financial interests, relationships that may lead to a conflict of interest, and any legal or ethical violations they may have encountered.