CÓDIGO DE CONDUCTA

Objetivo.

El Código de Conducta de GB (el “Código”) brinda orientación sobre el comportamiento comercial que se espera de la comunidad de GB Advisors siga mientras trabaja y se relaciona con sus compañeros de trabajo, clientes, proveedores, socios comerciales y otras partes interesadas.

Para efectos de este Código, nos referiremos a “GB Advisors”, como “GB”.

El Código está respaldado por políticas de nivel corporativo, las cuales se encuentran disponibles en la Intranet de GB. También puede estar sujeto a políticas regionales y/o departamentales adicionales. Sin embargo, este Código y las políticas no pueden  responder a todas las preguntas ni abordar todas las situaciones comerciales posibles. Por lo tanto, se espera que use su buen juicio y busque orientación de los recursos internos cuando tenga preguntas sobre el procedimiento a seguir apropiado.

Alcance.

El Código es aplicable a todo el personal de GB. El Código de Conducta rige la conducta de los trabajadores eventuales, y de los socios comerciales que actúan en nombre de GB.

El incumplimiento del Código, incluida la no denuncia de violaciones reales o sospechadas de las que tenga conocimiento, puede resultar en una acción disciplinaria, que incluye, entre otros, el despido.

Declaración de política.

El éxito comercial de GB depende de nuestra capacidad para construir relaciones de confianza entre nosotros, así como con nuestros clientes, proveedores, gobiernos y comunidades. Esto significa que tenemos responsabilidad de:

  • Hacer preguntas y reportar inquietudes;
  • Realizar negocios con honestidad e integridad;
  • Seguir la letra y el espíritu de la ley;
  • Tratar a otros con dignidad y respeto; y
  • Proteger los activos y la reputación de GB;

Hacer preguntas y reportar inquietudes.

  • Plantear sus inquietudes con prontitud.

El Área Legal y el Área de Standards de GB, podrán brindarle el apoyo y el asesoramiento que necesita para cumplir con este Código, así como las políticas corporativas y las leyes que sean aplicables. Si tiene alguna razón para creer que este Código, las políticas corporativas o las leyes y regulaciones aplicables se han violado o pueden ser violadas, se espera que informe de inmediato dicha actividad al Área Legal o al Area de Standards.

  • Las represalias no serán toleradas.

  • Cooperar con investigaciones, demandas y procedimientos legales.

El compromiso de GB de realizar negocios con integridad requiere que tomemos en serio todos los informes creíbles, de buena fe, de sospecha de mala conducta, los investiguemos de manera justa y confidencial y tomemos las medidas necesarias. Debe cooperar plenamente en las investigaciones y auditorías internas autorizadas por GB, que pueden ser realizadas por representantes del área Legal, Standards, Talento Humano, así como miembros de las firmas legales y de auditoría externa de GB.

Las demandas, los procedimientos legales y las investigaciones por parte de agencias gubernamentales o reguladoras que involucren a GB deben manejarse con prontitud y de manera apropiada. Debe informar todos estos asuntos de inmediato al Área Legal.

Además, debe conservar los documentos relevantes para cualquier demanda, procedimiento legal o investigación. Todas las solicitudes externas de información deben enviarse al Área Legal. Dicha área supervisará la recopilación de información y coordinará la respuesta de GB a la parte externa. Cuando se le solicite que proporcione registros relevantes, debe proporcionárselos de inmediato al Área Legal.

Debe evitar discutir cualquier demanda, procedimiento legal o investigación con cualquier persona dentro o fuera de GB sin la aprobación previa del Área Legal.

  • Realizar negocios con honestidad e integridad.

  • Seguir las prácticas de contratación aceptables para evitar acuerdos colaterales.

Los acuerdos paralelos están estrictamente prohibidos. La política de GB es contratar clientes y otras partes solo a través de acuerdos formales por escrito que hayan sido aprobados por las Áreas Ejecutiva y Legal de GB y que hayan sido ejecutados por signatarios autorizados.

  • Evitar conflictos de intereses.

Debe evitar cualquier actividad que entre en conflicto o parezca estar en conflicto con los intereses de GB. Un conflicto de intereses es una situación en la que usted o un miembro de su familia tiene intereses profesionales o personales que podrían afectar su objetividad al tomar decisiones como empleado de GB. Pueden surgir conflictos de intereses cuando usted o un miembro de su familia recibe beneficios personales indebidos como resultado de su puesto en GB. Los préstamos, o las garantías de obligaciones, a un empleado o un miembro de la familia de un empleado también pueden crear conflictos de intereses.

Por lo general, un conflicto de intereses es cuando un empleado de GB trabaja simultáneamente para un competidor, cliente o proveedor. No se permite trabajar para un competidor como consultor o miembro de la junta. La mejor práctica es evitar cualquier conexión comercial directa o indirecta con competidores, clientes o proveedores de GB, excepto en nombre de GB.

Es posible que los conflictos de intereses no siempre sean evidentes de inmediato. Si tiene preguntas o si se da cuenta de un conflicto de intereses o de un posible conflicto de intereses, debe comunicarse con el Área Legal.

  • Mantener los registros de GB de forma adecuada.

GB es responsable de garantizar que sus registros comerciales, incluidos los registros en papel y electrónicos, se creen, gestionen y eliminen correctamente. Un programa de gestión de registros eficaz y eficiente permite a GB satisfacer sus necesidades comerciales y cumplir con todas las obligaciones legales y reglamentarias. Usted es responsable de revisar periódicamente los registros en su poder y asegurar cualquier orden de conservación pendiente.

  • Seguir la letra y el espíritu de la ley.

Obedecer la ley, tanto en letra como en espíritu, es la base de los estándares éticos de GB. Debemos actuar de acuerdo con las leyes y regulaciones aplicables donde GB hace negocios. Si cree que los requisitos del Código entran en conflicto con la ley local, consulte con el Área Legal de GB. GB Advisors, se compromete a cumplir en todo momento con las leyes anticorrupción, así como el cumplimiento de sus Políticas de Antisoborno y Anticorrupción.

  • Tratar a otros con dignidad y respeto.

  • Diversidad e igualdad de oportunidades.

GB valora la diversidad de su equipo de trabajo. El enfoque de GB hacia la diversidad se define por la inclusión, el respeto y el fomento de una cultura que permite a cada individuo contribuir a su máximo potencial. Los líderes de GB deben dar un ejemplo sólido y ético y crear un entorno de trabajo civil y profesional. GB no tolera ninguna forma de acoso, discriminación o represalia.

  • Garantizar un lugar de trabajo seguro.

Un lugar de trabajo libre de violencia, armas y otros comportamientos perturbadores mantiene a todos los empleados seguros y capaces de concentrarse plenamente en el negocio. Se prohíbe la violencia u otros actos deliberados destinados a dañar a otra persona o su propiedad, incluidos comentarios y comportamientos amenazantes, amenazadores o intimidantes. La violencia o las amenazas de violencia deben informarse de inmediato al Área de Talento Humano o al Área Legal.

Donde sea legalmente exigible, GB prohíbe la posesión, ocultación, uso o transferencia de los siguientes artículos en las instalaciones de GB, ya sean de propiedad o arrendados: cualquier arma de fuego u otra arma, incluidos cuchillos, palos, explosivos u otros dispositivos que se utilizan principalmente para infligir lesiones.

  • Mantener un lugar de trabajo libre de abuso de sustancias.

El alcohol, las drogas ilegales y las sustancias controladas pueden afectar negativamente la seguridad, la productividad, la confiabilidad y el juicio. Se nos prohíbe consumir o estar bajo la influencia del alcohol o poseer, distribuir o estar bajo la influencia de drogas ilegales mientras realizamos negocios en GB, con la excepción del consumo de alcohol legal, moderado y prudente durante el entretenimiento comercial legítimo.

  • Proteger los activos y la reputación de GB.

  • Utilizar los activos y sistemas de la empresa de forma adecuada.

Los activos de GB, incluidos, entre otros, equipos, suministros, instalaciones y sistemas, deben utilizarse en beneficio de GB. GB se reserva el derecho de monitorear los sistemas del mismo y no debe haber expectativas de privacidad. Debe seguir las pautas de GB para proteger los sistemas del mismo, incluidas las siguientes pautas de contraseña e incorporar protección antivirus aprobada por GB.

  • Política de Redes Sociales y Medios.

  • Evitar el robo y el fraude.

El robo y el fraude son delitos y no serán tolerados. El fraude es un tipo de robo mediante engaño que resulta en su beneficio personal, beneficio o ventaja o daño o pérdida a otra persona o entidad. Se espera que informe cualquier actividad sospechosa de inmediato, y plantee sus inquietudes con prontitud.

  • Salvaguardar la propiedad intelectual y la información confidencial.

La Política de Confidencialidad Y Seguridad de la Información de GB sirve como base para las políticas, los estándares y los procedimientos de gestión de la información de GB. Los empleados son personalmente responsables de garantizar que sus activos de información de GB estén adecuadamente protegidos y de cumplir con las políticas, los estándares y los procedimientos de seguridad de la información de GB.

GB posee todas las invenciones, concepciones, descubrimientos, mejoras, ideas, trabajos de autoría y secretos comerciales creados por usted en el trabajo o creados con los activos de GB. Usted es un administrador de los secretos comerciales y la información confidencial propiedad de GB o de terceros que se le confían. En consecuencia, se espera que tome las medidas administrativas, físicas y técnicas apropiadas para salvaguardarlos adecuadamente y evitar su acceso, uso o divulgación no autorizados, como se describe con más detalle en la Política de Confidencialidad y Seguridad de la Información y la Política de Protección de la Propiedad intelectual.

Cuando sea necesario compartir información confidencial de GB con clientes, socios u otros terceros, usted es responsable de garantizar que se firmen y ejecuten los acuerdos de confidencialidad adecuados antes de compartir la información.

Además, no puede utilizar sin autorización o hacer copias no autorizadas del contenido, documentos o materiales de otra persona o empresa, ya sea escrito o electrónico, o software de computadora. Además, la mayoría de los países ahora tienen leyes que rigen los secretos comerciales y la información confidencial. Existen serias repercusiones legales para cualquier persona que viole estas leyes al hacer un uso indebido de los secretos comerciales de GB o de otra persona o empresa para el beneficio económico de cualquier otra persona que no sea el propietario.

  • Viajar responsablemente.

Debe asegurarse de que los viajes de negocios estén destinados a promover los intereses comerciales de GB y de que los gastos de viaje y entretenimiento sean razonables y prudentes.

  • Ser un ciudadano corporativo responsable.

Para GB, la responsabilidad corporativa significa lograr el éxito empresarial de forma que demuestre respeto por nuestras comunidades. GB prohíbe el uso de trabajo infantil, castigo físico o trabajo forzado u obligatorio, así como cualquier otra forma de abuso humano. GB se compromete a respetar el medio ambiente y a conservar los recursos. En consecuencia, GB promueve el cumplimiento de todas las leyes y regulaciones ambientales aplicables en los países donde operamos.

GB se compromete a crear asociaciones estratégicas con organizaciones comunitarias. Las contribuciones benéficas en nombre de GB, incluidas las donaciones de equipos informáticos, las donaciones en efectivo o la compra de entradas para eventos de recaudación de fondos, solo pueden ser comprometidas y deben ser dirigidas a través del Área de Finanzas.

  • Información relacionada.

Todas las políticas corporativas están disponibles en el sitio web de Políticas Corporativas Internas de GB. Para mayor información, comuníquese con el Área de Standards.

Glosario de Términos.

  1. Conducta: Manera de comportarse de una persona en una situación determinada o en general.
  2. Código: Conjunto de normas y reglas sobre cualquier materia.

Documentos Relacionados.

1. Política de Confidencialidad y Seguridad de la Información.

2. Política de Protección de Propiedad Intelectual (por crear).

3. Política Antisoborno y Anticorrupción.


Introduction

The GB Code of Conduct (the “Code”) provides guidance about business behavior expected of the GB community as you work and interface with fellow employees, customers, suppliers, business partners and other stakeholders.

The Code is supported by corporate-level policies, which are available on GB’s Intranet. You may also be subject to additional regional and/or departmental policies. However, this Code and the policies cannot answer every question or address every possible business situation. Therefore, you are expected to use good judgment and seek guidance from internal resources when you have questions about the appropriate course of action.

Scope and Compliance

The Code is applicable to all officers, directors, and employees of GB Advisors (consisting of all global GB entities; (“GB”). The Third-Party Code of Conduct governs the conduct of contingent workers and business partners acting on GB’s behalf.

Failure to comply with the Code, including not reporting actual or suspected violations of which you are aware, may result in disciplinary action, including but not limited to termination of employment.

Policy Statement

GB’s business success depends on our ability to build trusted relationships—with each other, as well as with our customers, suppliers, governments and communities. This means that you have a responsibility to:

  • Ask Questions and Report Concerns;
  • Conduct Business with Honesty and Integrity;
  • Follow the Letter and Spirit of the Law;
  • Treat Each Other with Dignity and Respect; and
  • Protect GB’s Assets and Reputation.

Ask Questions and Report Concerns

Raise Your Concerns Promptly

The GB Compliance & Ethics Office is dedicated to giving you the support and advice you need to comply with this Code, corporate-level policies and applicable laws and regulations.

If you have any reason to believe this Code, corporate policies or applicable laws and regulations have been or may be violated, you are expected to immediately report such activity to any of the following resources:

  • Local Management;
  • Human Resources;
  • Compliance & Ethics Office;
  • Legal Department; or
  • Internal Audit;

Retaliation is Not Tolerated

Cooperate with Investigations, Lawsuits and Legal Proceedings

GB’s commitment to conducting business with integrity requires that we take all credible good-faith reports of suspected misconduct seriously, investigate them fairly and confidentially, and take action where needed. You must cooperate fully in GB-authorized internal investigations and audits, which may be conducted by representatives from Legal, Compliance and Ethics, Internal Audit, Security and Human Resources, as well as members of GB’s external audit and legal firms.

Lawsuits, legal proceedings and investigations by government or regulatory agencies involving GB must be handled promptly and in an appropriate manner. You should bring all such matters immediately to the attention of the Legal Department.

You should retain documents relevant to any lawsuit, legal proceeding or investigation. All external requests for information must be forwarded to the Legal Department. The Legal Department will oversee information gathering and coordinate GB’s response to the external party. When you are asked to provide relevant records, you must promptly provide them to the Legal Department.

You are to avoid discussing any lawsuit, legal proceeding or investigation with anyone inside or outside of GB without prior approval of the Legal Department.

Conduct Business with Honesty and Integrity

Follow Acceptable Contracting Practices to Prevent Side Agreements

Side agreements are strictly prohibited. GB policy is to contract with customers and other parties only through formal, written agreements that have been approved by GB’s Legal Department and that have been executed by authorized signatories.

Avoid Conflicts of Interest

You should avoid any activity that conflicts with, or appears to conflict with, the interests of GB. A conflict of interest is a situation in which you or a member of your family has professional or personal interests that could affect your objectivity in making decisions as a GB employee. Conflicts of interest may arise when you or a member of your family receives improper personal benefits as a result of your position with GB. Loans to, or guarantees of obligations of, an employee or an employee’s family member may also create conflicts of interest.

It is usually a conflict of interest for a GB employee to work simultaneously for a competitor, customer or supplier. Employees are not allowed to work for a competitor as a consultant or board member. The best practice is to avoid any direct or indirect business connection with GB competitors, customers or suppliers, except on behalf of GB.

Conflicts of interest may not always be immediately evident. If you have questions or if you become aware of a conflict of interest or a potential conflict of interest, you should contact the Compliance & Ethics Office.

Maintain GB Records Appropriately

GB is responsible for ensuring that its business records, including paper and electronic records, are created, managed and disposed of properly. An effective, efficient records management program allows GB to meet its business needs and to comply with all legal and regulatory obligations. You are responsible for periodically reviewing the records in your possession and assuring any pending preservation orders.

Follow the Letter and Spirit of the Law

Obeying the law, both in letter and in spirit, is the foundation of GB’s ethical standards. We must act in accordance with the applicable laws and regulations where GB does business. If you believe the requirements of the Code conflict with local law, please consult the Compliance & Ethics Office or the GB Legal Department.

Uphold Applicable Anti-Corruption Laws

Improper Payments

GB takes a zero-tolerance approach to bribery and corruption and is committed to operate and enforce systems and policies to detect and deter bribery. You may never give or promise to give anything of value directly or indirectly to any third party in connection with any GB business to assist GB in obtaining an improper business advantage, whether or not any benefit is received.

Offering Gifts, Entertainment and other Hospitality

Normal, occasional and appropriate gifts, entertainment or other hospitality offered to customers, potential customers, suppliers, or other persons connected to GB business to foster goodwill and enhance business relationships is generally permissible, as fully described in the Anti-Corruption Policy. However, the following gifts, entertainment and other hospitality are strictly prohibited, even if you do not submit the expenditures for reimbursement from GB:

  • A “quid pro quo” (offered for something in return);
  • Gifts in the form of cash or cash equivalents (e.g., gift cards);
  • Gifts, entertainment or other hospitality immediately prior to, during or immediately following an expected or actual tender issued by a government entity or other similar formal bidding process if (i) prohibited by the tender or formal bid documents or recipient’s employer’s policies, guidelines or standards; (ii) prohibited by local law; or (iii) doing so would give rise to the appearance of impropriety;
  • Entertainment of an unsavory or potentially offensive nature; or
  • Gifts, entertainment or other hospitality that are knowingly in violation of the recipient’s employer’s policies, guidelines or standards.

You may not require or encourage a third party acting on behalf of GB to make any of the above referenced prohibited gifts, entertainment or hospitality. For additional information regarding acceptable and unacceptable gifts, entertainment and other hospitality, as well as the related approval process. You should contact the Compliance & Ethics Office to discuss and resolve ambiguous situations.

Receiving Gifts, Entertainment and other Hospitality

All business meals and entertainment must be customary, unsolicited, infrequent, in good taste, reasonable in value and provided for legitimate business purposes. Additionally, except as noted below, you may accept occasional, unsolicited gifts of nominal value, such as promotional or commemorative items. You must receive advance approval from your vice president for any gifts, entertainment or hospitality in excess of $100USD (or equivalent), including, for example, travel and conference fees. If you are a vice president or above, you must receive advance approval from your direct supervisor before accepting any gift, entertainment or hospitality in excess of $100USD (or equivalent). If you purchase goods and services for GB (e.g., Procurement employees), you may not accept gifts from suppliers in excess of $25 USD (or equivalent).

You should never accept:

  • Tangible or intangible personal benefits that are given—expressly or impliedly—in exchange for securing GB business;
  • Tangible or intangible personal benefits that might create or give the appearance of creating a sense of obligation on your part;
  • Cash or cash equivalents (e.g., gift cards); or
  • Personal discounts for a supplier’s or customer’s products or services, unless such discounts are offered to all GB employees or members of the general public.

Restrictions on Political Contributions and Activities

You may not contribute funds, assets or services for or on behalf of GB to any political candidates, political party, charity or similar organizations, unless such contribution is expressly permitted by law and authorized by GB.

Promote Fair Competition

GB will succeed in a fair and competitive marketplace by providing customers with superior products and services at reasonable prices. We follow laws designed to preserve free and open competition, often referred to as “antitrust laws.”

Generally, applicable antitrust laws prohibit the following conduct:

  • Price fixing, which includes verbal, tacit or implied agreements among competitors about prices;
  • Bid rigging, through which a party agrees to not bid, bid at a certain price or submit a bid that is intentionally less favorable than a competitor’s bid;
  • Territorial or customer allocation, through which competitors divide or allocate customers or territories to be served; and
  • Market division among competitors to allocate customers, territories or products.

Antitrust and trade regulation laws in various countries may differ, and any question about specific conduct or a specific situation should be directed to the GB Legal Department.

Comply with Export Controls

GB engages with a global audience. We therefore comply with applicable country laws regarding the import and export of goods, services, software and technology.

Anyone associated with GB who is involved with the export, re-export and import of goods, services, technology or software is responsible for knowing and following the export control regulations that apply to their job responsibilities. Please consult GB’s Export Compliance Site for additional information.

Protect the Privacy of Personal Information

GB complies with applicable data protection and privacy laws in all countries where GB does business. You have a responsibility to safeguard the privacy, confidentiality and security of personally identifiable information and other private information of our employees, customers, partners and other third parties in GB’s possession. It is your responsibility to follow the Confidential Information Protection Policy and relevant data privacy policies to protect personal information of others and prevent its unauthorized use or disclosure. You may share it only for legitimate business needs within the scope of your duties with authorized persons and in accordance with applicable laws.

Treat Each other with Dignity and Respect

Value Diversity and Equal Opportunity

GB values the diversity of its workforce. The GB approach to diversity is defined by inclusiveness, respect and fostering a culture that allows each individual to contribute to his or her fullest potential. GB leaders must set a strong, ethical example and create a civil, professional work environment. GB does not tolerate any form of harassment, discrimination or retaliation.

Ensure a Safe Workplace

A workplace free of violence, weapons and other disruptive behavior keeps all employees safe and able to concentrate fully on business. Violence or other deliberate acts intended to harm another person or their property, including threatening, menacing or intimidating comments and behavior, is prohibited. Violence or threats of violence should be reported immediately to GB Security.

Where legally enforceable, GB prohibits the possession, concealment, use or transfer of the following items on GB premises, whether owned or leased: any firearm or other weapon, including knives, clubs, explosives or other devices that are primarily used to inflict injury.

Maintain A Workplace Free From Substance Abuse

Alcohol, illegal drugs and controlled substances can adversely affect safety, productivity, reliability and judgment. We are prohibited from consuming or being under the influence of alcohol or possessing, distributing or being under the influence of illegal drugs while engaging in GB business, with the exception of lawful, moderate and prudent alcohol consumption during legitimate business entertainment.

Protect GB’s Assets and Reputation

Use Company Assets and Systems Appropriately

GB assets, including but not limited to equipment, supplies, facilities and systems, should be used for GB’s benefit. GB reserves the right to monitor GB systems and there should be no expectation of privacy. You must follow GB guidelines for protecting GB systems including following password guidelines and incorporating GB-approved virus protection.

Social Media and Networking Policy.

Prevent Theft and Fraud

Theft and fraud are crimes and will not be tolerated. Fraud is a type of theft by deception that results in your personal gain, profit or advantage or harm or loss to another person or entity. You are expected to report any suspicious activity immediately, Raise Your Concerns Promptly.

Safeguard Intellectual Property and Confidential Information

The GB Information Security Policy serves as the foundation for GB’s information management policies, standards, and procedures. Employees are personally accountable for ensuring that their GB information assets are adequately secured and for complying with GB information security policies, standards and procedures.

GB owns all inventions, conceptions, discoveries, improvements, ideas, works of authorship and trade secrets created by you on the job or created using GB’s assets. You are a steward of the trade secrets and confidential information owned by GB or third parties that are entrusted to you. Accordingly, you are expected to take appropriate administrative, physical and technical measures to properly safeguard them and prevent their unauthorized access, use or disclosure, as further described in the Confidential Information Protection Policy and on the GB Legal Department Site relating to the protection of intellectual property.

When it is necessary to share GB confidential information with customers, partners or other third parties, you are responsible for ensuring that the proper confidentiality agreements are signed and properly executed before the information is shared.

Moreover, you may not use without authorization or make unauthorized copies of another person’s or company’s content, documents or materials, whether written or electronic, or computer software. Additionally, most countries now have laws governing trade secrets and confidential information. There are serious legal repercussions for anyone who violates these laws by misusing GB’s or another person’s or company’s trade secrets for the economic benefit of anyone other than the owner.

Travel Responsibly

You must ensure that business travel is intended to further GB business interests, and that travel and entertainment expenditures are reasonable and prudent.

Be A Responsible Corporate Citizen

For GB, corporate responsibility means achieving business success in ways that demonstrate respect for our communities. GB prohibits the use of child labor, physical punishment or forced or compulsory labor, as well as any other forms of human abuse. GB is committed to respecting the environment and to conserving resources. Accordingly, GB promotes compliance with all applicable environmental laws and regulations in the countries where we do business.

GB is committed to creating strategic partnerships with community organizations. Charitable contributions on behalf of GB, including donations of computer equipment, cash donations or the purchase of tickets for fundraising events, may only be committed by and should be directed through the Community and Government Relations Department.

Related Information

All corporate policies are available on the GB’s Internal Corporate Policy website. For more information please contact the Compliance and Ethics Office.[:]

?>