Government of the United States Virgin Islands v. JPMorgan Chase Bank, N.A., No. 122-cv-10904 (S.D.N.Y. 2022)/263-10.pdf

EXHIBIT 63 Case 1:22-cv-10904-JSR Document 263-10 Filed 08/07/23 Page 1 of 33 Case 1:22-cv-10904-JSR Document 263-10 Filed 08/07/23 Page 2 of 33 MAY 2009 CODE OF CONDUCT JPl\fORGAN (~Hl\.SE & Co. Confidential JPM-SDNYLIT-00149115 Case 1:22-cv-10904-JSR Document 263-10 Filed 08/07/23 Page 3 of 33 Confidential JPM-SDNYLIT-00149116 Case 1:22-cv-10904-JSR Document 263-10 Filed 08/07/23 Page 4 of 33 INTRODUCTION Our integrity and reputation depend on our ability to do the right thing, even when it's not the easy thing. The Code of Conduct is a collection of rules and policy statements intended to assist employees and directors in making decisions about their conduct in relation to the firm's business. The Code is based on our fundamental understanding that no one at JPMorgan Chase should ever sacrifice integrity --or give the impression that they have --even if they think it would help the firm's business. Each of us is accountable for our actions, and each of us is responsible for knowing and abiding by the policies that apply to us. Managers have a special responsibility, through example and communication, to ensure that employees under their supervision understand and comply with the Code and other relevant policies. You can look to the Code of Conduct to guide your decisions in a variety of circumstances. However, no rulebook can anticipate every situation. Ultimately, the personal integrity and honesty of every JPMorgan Chase employee define the character of our company. Never underestimate the importance of your own ethical conduct to the business and success of JPMorgan Chase. Confidential JPM-SDNYLIT-00149117 Case 1:22-cv-10904-JSR Document 263-10 Filed 08/07/23 Page 5 of 33 TABLE OF CONTENTS 1. ADM[N[STRATION OF THE CODE OF CONDUCT ........................................................................ 1 1. 1. Persons subject to the Code of Conduct.. ...................................................................................... 1 1.2. Consultants, agents and temporary workers .................................................................................. 1 1.3. Consequences of violating the Code ............................................................................................. 2 1.4. Questions about the Code .............................................................................................................. 2 1.5. Obligation to report violations ...................................................................................................... 4 1.6. Current version of the Code .......................................................................................................... 5 1.7. Affirmation .................................................................................................................................... 5 2. DIVERSITY ........................................................................................................................................... 5 3. CONFrDENTrAL INFORMATION, PUBLIC COMMUN[CATrON, DATA PR[VACY .................. 6 3.1. Information about the finn, its customers, its employees, and others ........................................... 6 3.2. Prior employer's confidential information and trade secrets ........................................................ 7 3.3. Special rules regarding customer information and data privacy legislation .................................. 7 3.4. Publications, speeches, internet postings, and other communications relating to JPMorgan Chase's business ............................................................................................................................ 7 4. INSIDE [NFORMATrON AND THE POUCY ON [NFORMATrON BARRIERS ............................ 8 4.1. Inside Information ......................................................................................................................... 8 4.2. The Policy on [nformation Barriers and other restrictions on sharing information ...................... 8 5. OTHER BUSINESS CONDUCT ........................................................................................................... 9 5.1. Assets of the firm .......................................................................................................................... 9 5.2. Intellectual property ...................................................................................................................... 9 5.3. Telephones, e-mail, internet, and other electronic communications devices .............................. 10 5.4. Internal controls, record-keeping, and reporting ......................................................................... 10 5.5. Limits of your authority .............................................................................................................. 11 5.6. Business relationships ................................................................................................................. 11 5.6.1. Fair dealing; respect for human rights ........................................................................... 11 5.6.2. Customer, supplier, and employee relationships ........................................................... 11 5.7. Money laundering and the USA PATRIOT Act ......................................................................... 11 5.8. Conduct with competitors; tying of products .............................................................................. 12 5.9. Bribery and the Foreign Corrupt Practices Act ........................................................................... 12 5 .10. International boycotts and economic sanctions ........................................................................... 12 5.11. Post-employment responsibilities ................................................................................................ 12 5.12. Other professional obligations of some employees ..................................................................... 13 6. OUTSIDE ACTIVITIES, GIFTS, AND OTHER POTENT[AL CONFLICTS OF [NTEREST ........ 13 6.1. Personal relationships .................................................................................................................. 13 6.2. Personal finances ......................................................................................................................... 13 6.3. Outside business and not-for-profit activities; outside employment.. ......................................... 14 6.3.1. General ........................................................................................................................... 14 6.3.2. Required pre-clearance of outside activities .................................................................. 15 6.4. Political Activities ....................................................................................................................... 16 Confidential JPM-SDNYLIT-00149118 Case 1:22-cv-10904-JSR Document 263-10 Filed 08/07/23 Page 6 of 33 6.4.1. Political campaign activities and contributions by employees ...................................... 16 6.4.2. Political contributions and related activities by JPMorgan Chase ................................. 17 6.5. Accepting gifts, meals, and entertainment from customers, suppliers, and others doing business or seeking to do business with JPMorgan Chase ......................................................................... 1 7 6. 5 .1. What you 111ay accept ..................................................................................................... 18 6.5.2. What you may not accept .............................................................................................. 19 6.5.3. Approval of nonconforming gifts .................................................................................. 20 6.5.4. Require