Government of the United States Virgin Islands v. JPMorgan Chase Bank, N.A., No. 122-cv-10904 (S.D.N.Y. 2022)/326-44.pdf

EXHIBIT 44 Case 1:22-cv-10904-JSR Document 326-44 Filed 09/08/23 Page 1 of 2 Case 1:22-cv-10904-JSR Document 326-44 Filed 09/08/23 Page 2 of 2 JPIVIC)RGAN CIL\SE &CC); Code ,o.f Conduct 2011 AFF! RMATION RECORD th.a:;:: l arn lr·: c::::.H:n:::)!iiH"'::()2 ~~"'':!th 3::·\y supp~e~·-nenta! p{.::l!::z.:i;_2:s. t.t;dt applj• to :r·ne-. lndu:z.:Lr-i.g: ·,nt·:rh:z.::B .. n: !irnit.a·rion ;r·,y ·•·u:;.::\>: 2 :T'P'•lr;r' r=-~e,rs:~:>na! i::":\ieStn1e·:r:t p•cl:,.c\es. ,:._:;gr.eec as a Cf}:'"':J:-~it•~J:n of tTl)"' :2n1r:doytTiE·nty to ::·e:r:1ain i::: CG•:tnpH.a,~ice ',,:\:'it}:: ~r~i,e c::::~{J.E and tt:E< s::..ipp!eiTientB! p•oHci:es th:,~H ~:ppi·y to ine-, an .::1s an:e-nLi-e•c~ f:roni titr::2 :r-o t:i::n~ aff, nTt t:~b::rr ! ha-:...<e re::::iort-ed ,?.:t-:y· ,,_;:cd.ations cf (~e C::.tde-_ i:nten1a:i firtTi pDnc·es., or !,~:',,-.vs. or regu!:arions c::ppH<:atde tD the t7nT: ·s. 1-.:::~J~,ir-H?·s·s. :.tiJt~:.;:.-:!1 k::c-'::.~i of o:r ·>-f'-·:P4-'o<•,.:•. ,3:·s re-qu~red t~y ·~;eciior: ·i .s cf r::-:e Ccd;e. :.~ncie(s.t.an:r..~ tn.at f>3:d~.ire. tG dG S{J car: :··esuh: ::~:l Q::s=:q~;::r::a:··y act:::or:: ..... ~~·· to .,.-L~d >.c:>~d: .. ::g .·:wn~:i::;:la•:.-·:cn <:•·f en::;;::':n:/:.:t·.:.:i.: .. 0 . (,_.jq.JerstanQ: tna:t th·e· C:o·de· ls upd.a~e<::i pe(::~:.):;::HcaDy a·s :r:ecess.ary, and t}"':,3.~ t~':E: :1·0~ 0 .;ut"". t:·•·~· .•' J:S;C:.: jr vo:~:'t•e< C?'.: +f:_r· jFfl::1r:r.__.,aLl Cha·s:e :•·"::rran:er. • . .:F'''. :::-ec/Jite,.;: t·u.::r-;cs:ss .o::-:j' ;L;,·n~ .... ie, .. _': ·ti•i~~.:5s;<~::·Dns: \n _p=aA,:·cs,......;"' Ch.2,/.~ ::·p::.-..i:r•:t:.2··,, f .... : .. 1_; =~ Y,, ;,.·cn•~i: .. r ~::::r tno.t c"f a:-ij of n1y ernployee-i~:s:;,:o,ciatesJ ac=::c-unts, i-,flith a super·,,,ris{:;:r :in a.[$\,·ance·. i.€:gree t:::.~ abide t:y this req:J:iren;·,::nt. l !:7;.,_;v:2 certain respons.d0Hit:es [ho.t ~/di :eo:·:itir":UE' after :T::y e:r:p;:oy:rnet;t V-tit:··i [he fi• .. :rr: tennin.at:e·s,. \nclL:cbng restrictions on r:;:f>,g c. ::.:;-.._,.:: ...... _;n 0 ,J-•e f .... 1•·::: en.:J:CJ.J(:£_., an.c~ s.clh:)ting the firrn'·; ,::ustc:.:-:r:e·:'"-:,. ,:1gr:2-.e :::c: .a:i-:::::1c~e t:y t~'"'i:"J<.:::.e t,e·_.f/J:.:i>::_.:d.:t:.:2·_ ... .J~.t:.,-t:ny e:ff::p:o:/::nent: te-r::::ir::ate.s. ff j-C:J dte zc a.:;:t.=,·>·/E"F in a:•-: a:-ea ~hat r·eci:._{:res. pre~c!-earanc-e cf p·ec~ot-:,3~ sr-cun~ies tra:r::sa:·cti=:)ns .at·=~:::i .... c~:.;-lT:,~•n=~e·n:a=~~ce of y·ou;- en::p:c,:/ee ,?.t:d err:p;(·~·_fe-f::->3:·s·s.oc.late.•d ,:::ccou:'1t:5 ':0i;th .& <::i:e·s.lgr'=at,er3 t::roke(, y::)u fu:·r.:-ier c~rr.:.fy tt~e foi\:Y:.: 0 1:ing· a li :-:sec:~_.u::r::es tf.::,t:;,3C.:..i:...;:.:):•i f..J:. :'fl~/ o:Nn accc,unr, ::.>r f::_}~' a:::y cf tT~Y e·rnph:)yee-.assooated :~:cccuru:s are-r}e:ng r,:::re-de:a:·ed ~J~./ C.c•n-tp:ia:nc·e·, and a H ~:rf •::·y/ err~p;oyee ·.nd e·••~p:cyc.::i:-,...~sc,··,,;.p,~ 2.cc,-~--0 1 :?s ·--:.· . .::..: .:n2·:'t· ,.,_-:r, 0 d •<y <1 a <-2s< .. • .. 2.0.e,C: bt<~ e:· o:· v:.nl: be :'::'1:G\fed to a de:sign;;.r:::e,;:1 L1r·cH:~e:· ~<,,(:th:•n U;E ar:,~pi:icad::>.!e t:ln';,e period~ except f::;:· .ar·.y .:c_~c:ounts rt1,;,_=n:. ha\iE· l:.>.een gr.:c_~ntE·d a ::_,.·,,H·irtE-r-: :2_;<-:2nr1pl•:or•1 b:l Ci:,mplianc•e,_ ·3,; /::., S.e•nio~~-L.e'),./e;: FrT-:.-.,i.0y-ee .:s any· en~~;.);:::}~/E-e \~'t;:cse (a) 3f'":nua! t:•aSE-s.idary· :"ate• •5 US1~'1 S.O.O·DO :fot tt;e l•Jca~ •=\..•rrenc:,/ e-q:.Ji',/.a!:.ent} G:'" hl:g::ier. f)R ('c,) tot,3!; 2-::':lnuai r.:asi) CD•:Tq::>E:nsat.'cn ;:s US.$250.00f) {or z:~iE ;local currency equ:\.<'ah~T=t} o::· ;:dgher TDtaJ ar::r:lUC::l ca:sl':l tc,:.•~~:)e-).:_·~,).:;u> n-:c:<:::.'1.:-: n12 e.rnp:(::ye-e's annuai ~Jas-e sa;ia~"'.'/ f"d•tt piu:s fat:/:'?:.:~~~::ft. differ:e:1:r.::2i;s as af t.1':e-tasr precer3:ng August ·i., p)us cdsf-i e.2.t·nln.g·s ;.;;ncier any ins:ent::"...:'f:-pi.2,:ns or p:rcgta:"r:s (e:g., annua: b·:':i-n:;..~s, C/.::-ntr:n::s·sl,o~:s, ::J1--ab-"s:S, o·verdcje-s, 2.:::ci spe:.::\a:l n::"cGg:nitic_:.n ;pa_/Tne.:nts o:· in~.::ent:•ves} tt·ia•I a:r·e· paL:.1 t<) .:.::<r dE·ferr•e:j t.~y ttn= e·:rn;::doyee d:-..1::·tng ltie 12-rn.c_3:·"::r[·i fJE:d~.J(~ er:;d•1r:.g th·e· :;as.t pr-ececj\ng, Jul:l 31. it c:De-:, not !r.c::u:j,e o:..-<.e:rt\r:ie ;:i~)-' (Fo.r US e::r:pioy·ees., t:::,tai ar::r--~.J-3:! ca·;f:: .::on:::::•·-2=··,rs:at'i.c:n ::•s tf"i-e arnounr. ~Js.ed f.o.:; rn·ec~icai p!ar: purpos-es.,. a·; :,f"::o·:.tln 0:1 the 8er::efit.s V"leb C.e:~iter.} U{J93791 02 jlm 20H A CODE AFFtRMAT)ON BY THE ABOVIE-NAME,D EMPLOYEE WAS RECETVIED BY TH,E OFFICE OF THE SECRE'TARY Confidential JPM-SDNYLIT-00178379