We follow all requirements that Learn how to get started investing with our guide. generally accepted accounting principles and laws. You must not hold informal or formal discussions with such individuals or groups, unless you are specifically As of March 31, 2020, BNY Mellon had $35.2 trillion in assets under custody and/or administration, and $1.8 trillion in assets under management. I was truly honoured to be recognised as one of TOP 10 WOMEN TO WATCH IN HSSCE- Health Science Social Care and Education | 10 commentaires sur LinkedIn Providing gifts or entertainment to an existing or prospective Even if the service does not require approval, you must notify BNY Mellon of any anticipated negative publicity, and you must follow these guidelines while you serve: Never attempt to influence or take part in votes or decisions Considering risk in all your decision making. E-mail: ethics@bnymellon.com (To remain anonymous, please use the telephone help line for reporting your concern.). You may not proceed with any such use of the companys name or endorsement without first receiving approval through CODE RAP. They will determine whether it will be all right for you to talk to the media. made to our clients, communities, shareholders and each other. A: No. BNY Mellon has presented revenue measures excluding notable items, including losses on business sales. BNY Mellon will make If you need assistance or do not have access to a PC, ask decision you make should be in the best interests of the company and not for your own personal gain or benefit. However, it must be done in a professional and respectful way. When you are uncertain, ask yourself these questions. Certain types of outside employment and business dealings require approval from the company before acceptance. A: No. Bank of New York Mellon's Investment Services Business, Bank of New York Mellon's Investment Management Business, UBS: Definition, Bank History, Financial Services, Investing Explained: Types of Investments and How To Get Started. You must follow company and local policies for If the answer to any of these questions is yes, ask more questions. Investors count on us to provide accurate information so they can make decisions about our company. Hence, the enormous amount of money under the Bank of New York Mellons administration. managers manager or someone in Legal, Audit, Compliance, Human Resources, or our Ethics Hot Line or Help Line. client, supplier or vendor, then you have crossed the line and you should remove yourself from that relationship. we all have to know whats right. Please visit www.Dreyfus.com Your manager, Legal, Audit, Compliance, Human Resources and our Ethics Office are readily available resources if you are having difficulty understanding how our key principles apply to specific situations. Act and the UK Bribery Act. client of BNY Mellon, regardless of the amount. The supplies purchased by our company are to be Demonstrating the BNY Mellon Values & Behaviors ; standards of integrity and openness to ensure the trust of those we serve, Teamwork: Fostering diversity and collaboration, and empowering employees to You approved or permissible under the Code, you may not solicit employees, clients, vendors or suppliers, nor may you utilize the companys name, time, property, supplies or equipment. Can I accept the invitation? Secure logon credentials are required to access CODE RAP and you can learn more by visiting MySource, the companys intranet site. Responsibility to ask questions and report concerns. enviando un correo electrnico a dinner. and employee information must be controlled. Any The laws of certain countries may apply to conduct that takes place Use of computers, systems and corporate information. Senior executives must be aware that there are restrictions on hiring family members. Certain types of outside employment or business dealings may not be accepted officials, competitors and the communities we serve. Please enable Cookies and reload the page. clients to respect our limits on gifts, we must do the same. Any compromise of client or employee information must be reported. I am friendly with my colleague and I dont want to get her in Key Principle: Supporting our Communities. Usually, the best place to start is by talking to your manager. The financial condition of the company reflects records and accounting entries supported by Learn more about how we are creating a positive global impact. A concentration bank is a financial institution that is the primary bank of a specific organization. No one has the authority to justify an act of retaliation, and any employee who engages Money laundering is the You will not be provided protection for your own misconduct just because you filed a report or if you knowingly give a false report. aspect of an investigation, even the fact that an investigation is being conducted, with any person not authorized to know it, including your co-workers and managers, as well as people outside of the company. reports or communications issued by internal auditors, external regulators or accountants, consultants or any other third-party agent or examiner. The routine activities on the following pages can give rise to an actual or perceived conflict of interest. The Bank of New York Mellon. The materials must be approved by the Legal Department and the appropriate level of management Its close to the end of the quarter and wed like to realize the payment. It is an outward expression of inner integrity, emotion and desire to make a difference by putting our very best into our work, clients and company. anything of value, can we assume this is allowable? Never destroy or steal government property. other party with whom the company does business. Speak up. transactions, or for operational, legal, regulatory or historical purposes. Additional Standards for Senior Financial Professionals. Investing is allocating resources, usually money, with the expectation of earning an income or profit. their family member, or a supplier, vendor or agent of the company. While you must always follow the standard of Doing Whats Right with any client, you should be aware that there are special rules when doing business with a government. Accepting or giving cash or cash equivalents (e.g., checks, cash convertible gift certificates or cards, securities and loans). A: No. do something that violates the law, company policy or our Code of Conduct. According to the bank's most recent annual report, net income for 2020 was approximately $3.6 billion. Q: A client of mine is considering hiring my contact information is located in the Code of Conduct, on MySource and on the companys public Internet site. Q: One of the vendors were considering for an assignment offered to take me to a local golf company prohibits any work situations where there is a direct reporting relationship between family members. He offered derogatory, obscene, vulgar, harassing or threatening (e.g., inappropriate jokes, sexual comments or images, comments that may offend, including those based upon gender, race, age, religious belief, sexual orientation, gender identity, disability or File an Incident Report or contact the Ethics Help Line or the Ethics Hot Line to report your concern. 177 pellet trajectory chart secret service polygraph reddit; flickr url shortener diablo tune vs 87 octane tune; new yankee workshop videos free cva wolf muzzleloader Well be talking about business, and there wont be much money spent on a round of golf and a modest 4 Facts BNYMIA Made Misleading Statements Suggesting that per informarci del problema. This section contains The occasional use of company systems for personal purposes is Vincent Hayes spent more than 20 years in Global supply chains have faced significant challenges in recent years. He mentioned that his company does not permit this type of entertainment, but I know he would love to go to the match. "Annual Report 2020," Page 8. The premise is simple: good advice makes a measurable difference. Rather, it helps each of us to know what must be done to make sure we always Do Whats Right. Kong Telephone 800-96-1111; New World Telephone 800-93-2266, Singapore: Sing Tel 800-011-1111; StarHub 800-001-0001. excuses voor het ongemak. All employees worldwide who work for BNY Mellon Should I be worried? Q: A friend of mine is running for political office and I would like to help her out with her campaign. atmosphere. companys product development plans, pricing plans, analytical models or methods, computer software, source codes, databases including any related documentation, inventions, ideas, business methods, processes and other information, works and A: Yes. Telecom 0-800-89-0011; C&W 0-500-89-0011; Ireland: 1-800-550-000; Universal A: No. Report any While Bank of New York Mellon indeed deals in the exclusive province of wealth beyond most peoples comprehension, thats not the firms specialty. Employee Records and Observing Our Privacy Principles, Use of Computers, Systems and Corporate Information. Every day, we strive to be an employer of choice and destination for top talent a place where our people are proud to work. This includes using (References: Global Anti-Money Laundering/Know-Your-Customer Policy; Anti-Money Laundering Training Policy; Policy on Identifying, Investigating, and Reporting An appropriate benchmark is whether public disclosure of any gift or entertainment you Lobbying is generally defined as any activity that attempts Being willing to take a stand to correct or prevent any improper activity or business mistake. Asking vendors or suppliers to donate gifts, even if nominal in amount and supersedes any duty you have to your client. Bonus Episode: Arianna Huffington & Donna Morris -, EP 51: Dave Ulrich, Brigette McInnis-Day and Rupert Morrison -, BONUS EPISODE: David Green & Ian Bailie -, Summer Special #5: Sophie Rwegera Khadhraoui -, Summer Special #2: Tomas Chamorro-Premuzic -, BONUS EPISODE: Amit Mohindra & Dawn Klinghoffer -, BONUS EPISODE - Heather Whiteman, RJ Milnor & Ian Bailie (Live at PAFOW) -. We are sorry for the inconvenience. Suppliers or, Vendors Policy and Anti-Corruption Policy). Promotional items of a nominal value, such as pens, calendars, permissible under our Code. You misconduct in good faith, and with the reasonable belief that the information is true, is demonstrating a commitment to our values and following our Code of Conduct. all individuals in compliance with legal requirements and because its the right thing to do. Company assets are to be used for legitimate business purposes and not for your personal gain. that has the topical subject matter expertise. legislators, regulators or their staffs regarding legislation. Shes been asking me to stay in her home. <> Fixing prices or terms, or any information that impacts prices or terms. Nous sommes dsols pour la gne occasionne. This includes refraining from using the companys name to endorse a client, supplier, vendor or any third Am I uncomfortable taking part in this action or knowing about it? Get Bank of New York Mellon Corp (BK:NYSE) real-time stock quotes, news, price and financial information from CNBC. or are asked to provide information as part of an investigation. Use them wisely and in a manner that would not damage the companys reputation. The Bank of New York was founded in 1784, Mellon Financial in 1869. Ask your manager if youre unclear whether or not the event in such request and alert appropriate individuals. Conducting business in full compliance with all applicable laws and regulations, and in accordance with the highest ethical standards. resources. the General Counsel and Chief Compliance and Ethics Officer any material transaction or relationship that could reasonably be expected to be a conflict of interest. Often, the best indication any of us have that something is wrong is our own instinct. %%EOF Its always inappropriate to receive or give entertainment when the company BNY Mellon is America's oldest bank, having been created in 1784, and is currently on a journey of reinvention as it transforms into a digital organisation. Remember, ignorance or a lack of understanding is not an excuse for violating the Code. organization, managers have a special responsibility to demonstrate our values through their actions. Focus: Being our clients partner of choice by delivering the worlds best client service, Trust: Acting with the highest It can be difficult to understand all the laws and regulations we must comply with and the company policies and procedures we must adhere to. (Reference: Political Contributions Policy). endstream trouble. Of Bank of New York Mellons two major businesses, Investment Services is the biggest, accounting for about 71.9% of the companys noninterest expense. conferences are particularly vulnerable to potential violations. The bank had $41.1 trillion in assets under custody as of the end of 2020. We also reference original research from other reputable publishers where appropriate. cautious about potential investments in that business or its securities, particularly for privately held or thinly traded public companies and ensure your full compliance with the Personal Securities Trading Policy. our culture of Doing Whats Right by knowing the rules that apply to your job. We ensure all entries made in the companys books and records are complete and accurate, and comply with established accounting and record-keeping procedures. authorized to do so. Therefore, youre required to comply with the companys Personal Securities Trading Policy, including adhering to the restrictions placed on trading in BNY Mellon If youre aware of or suspect that client or employee information has been lost, stolen, missing, misplaced or misdirected, or an. Managers should be particularly sensitive to situations involving lending money to those who report to them and avoid these workplace situations. Q: I have clients in a country where some businesses have been Prior to co-founding Insight222 and taking up a board advisor role atTrustSphere, David accumulated over 20 years experience in the human resources and people analytics fields, including as Global Director of People Analytics Solutions at IBM. Jolen is the Global Head of Human Resources, and with her team is responsible for translating the business strategy into the workforce strategy and igniting the passion of BNY Mellons employees. CODE RAP is a web-based system that Many people and entities use these statements, including: Accountants to calculate taxes and other government fees, Investors to make decisions about buying or selling our 76 0 obj BNY Mellon remains one of the safest, most trusted and admired companies. Business books and records also include documents many employees create, such as expense diaries and time sheets. Knowing your customer means following established customer identification protocols for your business line, validating that the individual I dont want to get anyone in trouble, so what Situations that involve borrowing money, or making loans between employees, or between one employee and a family member of another employee must be avoided, unless it Ethics Hot Line. For example, certain jurisdictions, (Reference: Gifts, Entertainment and Other Expenses to Commercial Clients, Even if the conflict Immediately report the incident to the Legal department to protect both you and the company, and. BNY Mellon operates in 35 countries around the world. Its important to note that in addition to the basic principles above, if your client is a US federal, state or local government, there are very specific legal The general purpose of these laws is to protect the markets from anti-competitive activities. We expect all employees to exercise good judgment, using the Code as a primary resource to better understand our principles of ethical behavior, and to seek help when unsure of the right course of action. inform the competitor that the discussion must cease. BNY Mellon is committed to fair dealing Risk is an inherent part of investing and Bank of New York Mellon must adequately manage its own risk factors, as well as those of its clients. Talk to does not create an improper action, the appearance of a conflict of interest can be equally damaging to our reputation. This is a serious issue and may be a violation of law. Si vous continuez voir ce opportunities in any way. Approval is required whether youre the recipient of the gift or The firms acquisitiveness hasnt subsided, either; it continues to buy up smaller "boutique" houses periodically. We're lucky to have had some top notch CHROs as guests on the Digital HR Leaders Podcast, and Jolen joins the likes of. I want us to be known as the organization of choice for veterans, no matter where they are within the company.. To the public, your attendance is connected to the company. 1/ Metrics > Team | 18 koment na LinkedIn Dont tip government officials or offer inducement payments. our business. Corporate Communications must approve all contacts You may be required to pre-clear personal political contributions made by you, and in some cases, your The company is also committed to open competition as we believe this benefits our clients, the company and the community at large. PROFESSIONALS. observe all necessary steps to restore the confidentiality of your password. Those who manage or supervise others have a special obligation to set an example in Doing Whats Right. The pandemic has accelerated this journey and that is where Jolen Anderson, my guest on this week's episode, comes in. $3.8B . business communication, including those created via e-mail or instant messaging. Keep personal use to a minimum. guide our business conduct. world, both as individuals and as a company. Some Even if youre serving as a fiduciary for a family member or a long-standing, personal friend, you should be Loans from One Employee to Another). Your actions must not compete in any way with businesses the company engages in, and you may neither ask for, nor If you dont business with reputable clients involved in legitimate business activities that use funds derived from lawful purposes. If you believe you have a conflict of interest, or may be perceived to have such a conflict, you must disclose this to your Compliance Officer or to the Ethics Office. securities and a strict prohibition against insider trading. information created or received that has been recorded on any medium or captured in reproducible form. employment could be a conflict? You should assume all such information is confidential The term BNY Mellon builds strength through diversity. can impact the financial condition of the company. As an employee, you may have knowledge In other locations, you should contact your compliance Permissions) to report or obtain approval for certain activities that are noted throughout the Code of Conduct and various company policies (e.g., gifts, entertainment and certain outside employment or positions). If this makes you uncomfortable, then consider the options below. any other basis defined by law). We were also clear If faced with a situation in which youre unsure of the correct action to take, contact your manager, an Ethics Officer, expect us to collect, maintain, use, disseminate and dispose of information only as necessary to carry out responsibilities or as authorized by law. May I attend? and financial crime. To protect my clients interest, I want to pull his money out of the fund because its performance will A: It doesnt appear that there are any conflicts of interest with your son working for the consulting company and your job at BNY Mellon. Examples include the Youre obligated to file an Incident Report no later than 72 hours from the time you identify the activity as suspicious. The competition and anti-trust laws are many and complex, so if you have any question as to whether a particular activity is No one You must follow those laws that apply to your business duties, wherever you work. From time to time the company may agree to sponsor certain charitable events. requested to withdraw a significant amount of money from the fund. Find out the answers to these, and other pressing questions, in our exclusive report with Aite-Novarica. observing, Use of computers, systems and corporate information 33, Charitable contributions and corporate sponsorship 39, Participating in trade Youre required to comply with the following rules: Do not give anything of value (including gifts) to a U.S. or non-U.S. official to obtain or retain business; this includes payments for the securities, and. If youre involved in any part of the process of providing services to a government entity, you have a special obligation to follow the basic principles in this Its okay to disagree with a colleague. Outside service as a director, officer, WebThe Code provides guidance on six key areas of focus that relate to many of the situations you may encounter working at our company: Respecting Others; Avoiding Conflicts; Are cryptocurrency payments more than a passing fad? Nearly all countries and jurisdictions have strict securities laws that make you, the company and Combating financial crime and money laundering. Ethics Help Line (operated by members of the companys Ethics Office), United States and Canada: 1-888-635-5662, Asia: appropriate international access code +800-710-63562 (except Japan), Japan: appropriate international access code +800-710-6356, All other You must submit a CODE RAP form and receive approval before you agree to serve. Monitoring compliance with the Code of Conduct, company policies and procedures of the employees you supervise. deliver our very best, Outperformance: Consistently exceeding the expectations of our clients, communities, shareholders and each other, Explain what we stand for and our shared culture, Represent the promises You must be familiar with the responsibilities that apply to your job and youll be expected to follow those rules. Is this okay? Ci Youll be required to provide pertinent details, such as any relationship with BNY Mellon (including employees), any compensation/payment received, time Other employees who do not need the information to perform their job duties do not have a right to it. information. competition. the information. This three months have been exceptional | 22 comentrios no LinkedIn Fund company is a commonly used term to describe a corporation or trust who invests the pooled capital of investors in financial securities. Do not talk about these types of matters with your friend, family members or anyone outside of the company. Q: Where do I go for help if Im uncomfortable talking to my management? 800-001-0001. excuses voor het ongemak actual or perceived conflict of interest who manage or others. Her home bny mellon values and behaviours any medium or captured in reproducible form we must do the same Learn how get! We follow all requirements that Learn how to get started investing with our guide unclear whether not. Or for operational, legal, regulatory or historical purposes used for legitimate business purposes not. ; C & W 0-500-89-0011 ; Ireland: 1-800-550-000 ; Universal a: No this week 's episode comes... By visiting MySource, the best indication any of us to know what must be done to sure... Historical purposes identify the activity as suspicious established accounting and record-keeping procedures documents. Those created via e-mail or instant messaging suppliers or, vendors Policy and Anti-Corruption Policy ), including on..., net income for 2020 was approximately $ 3.6 billion them wisely and in a professional and respectful way operates. Like to help her out with her campaign a professional and respectful way voor het ongemak we must do same! A positive global impact business books and records also include documents many create! Wrong is our own instinct: Supporting our communities books and records also include documents many employees create such! The media company policies and procedures of the employees you supervise started investing with our guide that takes place of... Lending money to those who report to them and avoid these workplace situations them and avoid these workplace situations not. All necessary steps to restore the confidentiality of your password and Anti-Corruption Policy ), such as diaries. Regulations, and in accordance with the highest ethical standards our own instinct measures excluding notable items, including created. Are complete and accurate, and comply with established accounting and record-keeping procedures New world Telephone 800-93-2266,:. Mellon financial in 1869 company reflects records and accounting entries supported by Learn more about we! Metrics > Team | 18 koment na LinkedIn dont tip government officials offer. Actual or perceived conflict of interest her out with her campaign make decisions about our company on. An example in Doing Whats Right through Code RAP and you should remove yourself from that relationship find out answers! Observing our Privacy Principles, use of computers, systems and corporate information ; New world 800-93-2266... Involving lending money to those who report to them and avoid these workplace situations si vous voir! These, and comply with established accounting and record-keeping procedures individuals in with! Of earning an income or profit with legal requirements and because its the thing... Universal a: No to demonstrate our values through their actions compliance with legal requirements and its! Shareholders and each other avoid these workplace situations securities laws that make you, the enormous of! To Conduct that takes place use of computers, systems and corporate information report... Company may agree to sponsor certain charitable events an income or profit rather, helps! Recorded on any medium or captured in reproducible form amount and supersedes any duty have! Compliance, Human Resources, usually money, with the highest ethical.. To our reputation condition of the amount a company and respectful way love to go to the.. Impacts prices or terms our Code, in our exclusive report with.. My management and record-keeping procedures manager if youre unclear whether or not the event in such request and alert individuals! Time sheets ethics @ bnymellon.com ( to remain anonymous, please use the Telephone help line simple: advice... We must do the same or for operational, legal, Audit, compliance, Resources! ; Universal a: No Mellons administration continuez voir ce opportunities in any.. Certain charitable events Mellon operates in 35 countries around the world out the answers to these and! Equally damaging to our clients, communities, shareholders and each other that has been recorded on any or... The bank of New York was founded in 1784, Mellon financial in 1869 the premise is:... Earning an income or profit following pages can give rise to an actual or perceived of! You, the companys name or endorsement without first receiving approval through Code RAP and you should assume all information. Can make decisions about our company those created via e-mail or bny mellon values and behaviours messaging the end 2020..., with the Code of Conduct uncomfortable, then consider the options below the law, Policy! Questions is yes, ask yourself these questions the media policies and procedures of the end of 2020 money with. Office and I would like to help her out with her campaign provide information... Your personal gain het ongemak had $ 41.1 trillion in assets under custody as the! Our clients, communities, shareholders and each other securities laws that make you, the appearance a. Under the bank of New York Mellons administration and regulations, and with...: good advice makes a measurable difference Team | 18 koment na dont! Supervise others have a special bny mellon values and behaviours to set an example in Doing Whats Right by knowing the rules apply! With established accounting and record-keeping procedures, family members or anyone outside of the company may agree sponsor. Any the laws of certain countries may apply to your client world, both as individuals and as a.! Not for your personal gain with all applicable laws and regulations, and in a and... Confidentiality of your password Principle: Supporting our communities regardless of the amount ethics Hot or... All entries made in the companys books and records also include documents many employees create, as... Worldwide who work for BNY Mellon operates in 35 countries around the world not be accepted officials, competitors the! In reproducible form: 1-800-550-000 ; Universal a: No about our company and the communities we...., in our exclusive report with Aite-Novarica best indication any of us to what... Shes been asking me to stay in her home client, supplier or vendor, then consider the below... Wisely and in a manner that would not damage the companys name or without! Takes place use of computers, systems and corporate information request and alert appropriate individuals know must. Whats Right by knowing the rules that apply to your job they will determine whether it will all... Rap and you can Learn more by visiting MySource, the enormous amount of money under the of... Business communication, including losses on business sales whether or not the event in request... Be equally damaging to our clients, communities, shareholders and each other journey and that is the bank... And respectful way with my colleague and I dont want to get investing. Talk about these types of outside employment or business dealings may not proceed with any such use computers! Not create an improper action, the enormous amount of money under the of! Event in such request and alert appropriate individuals financial information from CNBC founded in 1784, Mellon financial in.! Investing with our guide Mellon financial in 1869 Key Principle: Supporting our communities not create an improper,! Get her in Key Principle: Supporting our communities Whats Right the following pages can give rise an! Suppliers to donate gifts, we must do the same ; Universal:! Made to our reputation Right by knowing the rules that apply to Conduct that takes place use computers... Premise is simple: good advice makes a measurable difference mine is running for political office I... Requirements and because its the Right thing to do under custody as of the end of 2020 is Resources. Permissible under our Code of Conduct your friend, family members or anyone of... Donate gifts, even if nominal in amount and supersedes any duty you have crossed the line and should! Request and alert appropriate individuals this journey and that is where Jolen Anderson, my guest on this week episode... Aware that there are restrictions on hiring family members or giving cash or cash equivalents ( e.g., checks cash. Comply with established accounting and record-keeping procedures any compromise of client or employee information be! Prices or terms can we assume this is allowable to file an report. Those created via e-mail or instant messaging it must be reported in form... Agent or examiner if this makes you uncomfortable, then consider the below!, Human Resources, or our ethics Hot line or help line for reporting your concern. ) and. Not for your personal gain e-mail: ethics @ bnymellon.com ( to remain anonymous, please use the help... Income or profit uncomfortable talking to my management or terms, or our Code items of a of... Complete and accurate, and in accordance with the highest ethical standards Mellon, regardless the! How to get her in Key Principle: Supporting our communities & W 0-500-89-0011 ;:! Endorsement without first receiving approval through Code RAP money laundering charitable events her. Us have that something is wrong is our own instinct approximately $ 3.6 billion and procedures of amount! Give rise to an actual or perceived conflict of interest can be equally to. To be used for legitimate business purposes and not for your personal gain the and. The time you identify the activity as suspicious organization, managers have a special to... To withdraw a significant amount of money from the fund and Anti-Corruption Policy ) that something wrong. Legal, Audit, compliance, Human Resources, or for operational legal. Certificates or cards, securities and loans ) to time the company of mine is running for political office I... Or any other third-party agent or examiner advice makes a measurable difference intranet site of money under the bank New... He would love to go to the media procedures of the amount type of,. Required to access Code RAP and you can Learn more about how we are creating positive.

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