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Being a part of the Lincoln Financial team means making a commitment to upholding our legacy of ethics, honesty and doing the right thing. Reading the Code is a great step toward that commitment, but it's not the only step. Continue to refer to the Code when you have questions and use it as your guide to making the right decisions every day. It can help you live our values as we continue to develop new ways to help people reach their financial goals.

If you have questions about what you've read in the Code,
remember to talk to your manager. Your manager can walk you through what each policy means for you. You may also contact any of the resources listed in the Helpful Resources section. We welcome all questions, thoughts or suggestions concerning the Code. Your input will help ensure that we all have the resources we need to continue to Be Lincoln.

Illustration of Abraham Lincoln Rectangle
 

Be Lincoln

Code of conduct

Overview

 
 
 

Glossary

Anything of value: Anything of value means any goods, services or merchandise, such as cash, cash equivalents, gift cards, vouchers, hospitality, meals, event tickets, entertainment, travel benefits, special favors or privileges, stock options, discounts, loans, or a promise of future employment (including paid or unpaid internships).

Confidential company information: Information that is not known to the public that relates to the business of a company or any subsidiary, including information about research and development, processes, trade secrets, customers, suppliers, finances and business plans and strategies.

Electronic assets: Anything accessed or stored in electronic form, including our network, email and internet access, data, databases, hardware and software.

Financial assets: Non-physical items of value that add to our business. They can include bank deposits, bonds, stocks, cash equivalents and equity instruments.

Good faith report: A good faith report is when a person has good reason to believe or suspect that misconduct has occurred and they speak up to report it. A person making a good faith report must do so without malicious intent or consideration of personal benefit

Government official: A government official can be a public or elected official or officer, government employee (at any level), or a person acting in an official capacity on behalf of any government entity or government-owned or controlled entity.

Harassing behavior: Harassing behavior can be verbal, physical or visual and can include things like demeaning jokes, unwelcome touching, pushing, rude gestures or offensive cartoons or emails.

Improper Business Advantage: A business advantage is improper if it results from an offer, promise, or payment provided to induce another person to misuse his or her official position. It's an advantage that wouldn't have been granted or done without a bribe or kickback. It could involve winning or retaining business, or a regulatory benefit, such as avoiding an inspection.

Inside information: Information that is (1) nonpublic, or has not been released to the public and (2) material, or would influence an investor to buy, sell or hold the securities (often stock) of a company. Examples include nonpublic information about mergers or acquisitions, sales or earnings results, financial forecasts, changes to the executive management team, pending lawsuits or major wins or losses.

Intellectual property: A work or invention that is the result of creativity, such as inventions, literary and artistic works, designs and commercial symbols, names and images, to which one has rights and for which one may apply for a patent, copyright or trademark.

Kickback: A kickback is an illegal payment made in order to receive preferential treatment or other inappropriate services. The payment could be anything of value including cash, entertainment, gifts, and services. Giving or receiving any form of kickback is a corrupt practice that

can compromise one's ability to make unbiased decisions.

Legal hold: A legal hold is a process to preserve all forms of potentially relevant information when litigation is pending or reasonably anticipated.

Money laundering: Money laundering describes the attempt to disguise illegal funds by transferring such funds through legitimate businesses. There are many types of financial crime that relate to money laundering, including forged financial documents, financial exploitation of vulnerable persons, computer intrusion and identity theft, to name a few.

Personal information: Information that can help identify an individual. It can include someone's name, email, date of birth, address, ethnicity, race, identifying numbers and employment history.

Personal relationship: A relationship with a family member or another person you are close to that might impair your independent judgment or influence your decisions or actions concerning Lincoln's business.

Physical assets: Material items of value that belong to our company, including cash, properties, buildings, office furnishings, equipment, inventory, office supplies, phones and computers.

Retaliation: Retaliation is when a negative consequence or punishment is imposed on an employee for engaging in protected activity, such as making a good faith report of misconduct or participating in an investigation. Retaliation can take many forms and is sometimes subtle.

 

Helpful resources

 

Resource

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For help with:

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Contact:

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Report a concern

GraphicLine GraphicLine

Concerns or questions about environmental, social or philanthropic issues

GraphicLine

Concerns or questions about compliance issues

GraphicLine

Concerns or questions about harassment, discrimination or unfair treatment

GraphicLine

Concerns or questions about outside inquiries or requests

GraphicLine

Brand education, tools, templates, logos and guidelines

GraphicLine

Concerns or questions about money laundering or fraud

GraphicLine

Concerns or questions about privacy

GraphicLine

Concerns about possible violations of our Code of Conduct or other concerns

GraphicLine

Being a part of the Lincoln Financial team means making a commitment to upholding our legacy of ethics, honesty and doing the right thing. Reading the Code is a great step toward that commitment, but it's not the only step. Continue to refer to the Code when you have questions and use it as your guide to making the right decisions every day. It can help you live our values as we continue to develop new ways to help people reach their financial goals.

If you have questions about what you've read in the Code, remember to talk to your manager. Your manager can walk you through what each policy means for you. You may also contact any of the resources listed in the Helpful Resources section. We welcome all questions, thoughts or suggestions concerning the Code. Your input will help ensure that we all have the resources we need to continue to Be Lincoln.

Illustration of Abraham Lincoln Rectangle

Be Lincoln

Code of conduct

Overview

 
 
 

Glossary

Anything of value: Anything of value means any goods, services or merchandise, such as cash, cash equivalents, gift cards, vouchers, hospitality, meals, event tickets, entertainment, travel benefits, special favors or privileges, stock options, discounts, loans, or a promise of future employment (including paid or unpaid internships).

Confidential company information: Information that is not known to the public that relates to the business of a company or any subsidiary, including information about research and development, processes, trade secrets, customers, suppliers, finances and business plans and strategies.

Electronic assets: Anything accessed or stored in electronic form, including our network, email and internet access, data, databases, hardware and software.

Financial assets: Non-physical items of value that add to our business. They can include bank deposits, bonds, stocks, cash equivalents and equity instruments.

Good faith report: A good faith report is when a person has good reason to believe or suspect that misconduct has occurred and they speak up to report it. A person making a good faith report must do so without malicious intent or consideration of personal benefit

Government official: A government official can be a public or elected official or officer, government employee (at any level), or a person acting in an official capacity on behalf of any government entity or government-owned or controlled entity.

Harassing behavior: Harassing behavior can be verbal, physical or visual and can include things like demeaning jokes, unwelcome touching, pushing, rude gestures or offensive cartoons or emails.

Improper Business Advantage: A business advantage is improper if it results from an offer, promise, or payment provided to induce another person to misuse his or her official position. It's an advantage that wouldn't have been granted or done without a bribe or kickback. It could involve winning or retaining business, or a regulatory benefit, such as avoiding an inspection.

Inside information: Information that is (1) nonpublic, or has not been released to the public and (2) material, or would influence an investor to buy, sell or hold the securities (often stock) of a company. Examples include nonpublic information about mergers or acquisitions, sales or earnings results, financial forecasts, changes to the executive management team, pending lawsuits or major wins or losses.

Intellectual property: A work or invention that is the result of creativity, such as inventions, literary and artistic works, designs and commercial symbols, names and images, to which one has rights and for which one may apply for a patent, copyright or trademark.

Kickback: A kickback is an illegal payment made in order to receive preferential treatment or other inappropriate services. The payment could be anything of value including cash, entertainment, gifts, and services. Giving or receiving any form of kickback is a corrupt practice that can compromise one's ability to make unbiased decisions.

Legal hold: A legal hold is a process to preserve all forms of potentially relevant information when litigation is pending or reasonably anticipated.

Money laundering: Money laundering describes the attempt to disguise illegal funds by transferring such funds through legitimate businesses. There are many types of financial crime that relate to money laundering, including forged financial documents, financial exploitation of vulnerable persons, computer intrusion and identity theft, to name a few.

Personal information: Information that can help identify an individual. It can include someone's name, email, date of birth, address, ethnicity, race, identifying numbers and employment history.

Personal relationship: A relationship with a family member or another person you are close to that might impair your independent judgment or influence your decisions or actions concerning Lincoln's business.

Physical assets: Material items of value that belong to our company, including cash, properties, buildings, office furnishings, equipment, inventory, office supplies, phones and computers.

Retaliation: Retaliation is when a negative consequence or punishment is imposed on an employee for engaging in protected activity, such as making a good faith report of misconduct or participating in an investigation. Retaliation can take many forms and is sometimes subtle.

 

Helpful resources

 

Resource

GraphicLine

For help with:

GraphicLine

Contact:

GraphicLine

Report a concern

GraphicLine GraphicLine

Concerns or questions about environmental, social or philanthropic issues

GraphicLine

Concerns or questions about compliance issues

GraphicLine

Concerns or questions about harassment, discrimination or unfair treatment

GraphicLine

Concerns or questions about outside inquiries or requests

GraphicLine

Brand education, tools, templates, logos and guidelines

GraphicLine

Concerns or questions about money laundering or fraud

GraphicLine

Concerns or questions about privacy

GraphicLine

Concerns about possible violations of our Code of Conduct or other concerns

GraphicLine

Being a part of the Lincoln Financial team means making a commitment to upholding our legacy of ethics, honesty and doing the right thing. Reading the Code is a great step toward that commitment, but it's not the only step. Continue to refer to the Code when you have questions and use it as your guide to making the right decisions every day. It can help you live our values as we continue to develop new ways to help people reach their financial goals.

If you have questions about what you've read in the Code, remember to talk to your manager. Your manager can walk you through what each policy means for you. You may also contact any of the resources listed in the Helpful Resources section. We welcome all questions, thoughts or suggestions concerning the Code. Your input will help ensure that we all have the resources we need to continue to Be Lincoln.

Illustration of Abraham Lincoln Rectangle

Be Lincoln

Code of conduct

Overview

 
 
 

Glossary

Anything of value: Anything of value means any goods, services or merchandise, such as cash, cash equivalents, gift cards, vouchers, hospitality, meals, event tickets, entertainment, travel benefits, special favors or privileges, stock options, discounts, loans, or a promise of future employment (including paid or unpaid internships).

Confidential company information: Information that is not known to the public that relates to the business of a company or any subsidiary, including information about research and development, processes, trade secrets, customers, suppliers, finances and business plans and strategies.

Electronic assets: Anything accessed or stored in electronic form, including our network, email and internet access, data, databases, hardware and software.

Financial assets: Non-physical items of value that add to our business. They can include bank deposits, bonds, stocks, cash equivalents and equity instruments.

Good faith report: A good faith report is when a person has good reason to believe or suspect that misconduct has occurred and they speak up to report it. A person making a good faith report must do so without malicious intent or consideration of personal benefit

Government official: A government official can be a public or elected official or officer, government employee (at any level), or a person acting in an official capacity on behalf of any government entity or government-owned or controlled entity.

Harassing behavior: Harassing behavior can be verbal, physical or visual and can include things like demeaning jokes, unwelcome touching, pushing, rude gestures or offensive cartoons or emails.

Improper Business Advantage: A business advantage is improper if it results from an offer, promise, or payment provided to induce another person to misuse his or her official position. It's an advantage that wouldn't have been granted or done without a bribe or kickback. It could involve winning or retaining business, or a regulatory benefit, such as avoiding an inspection.

Inside information: Information that is (1) nonpublic, or has not been released to the public and (2) material, or would influence an investor to buy, sell or hold the securities (often stock) of a company. Examples include nonpublic information about mergers or acquisitions, sales or earnings results, financial forecasts, changes to the executive management team, pending lawsuits or major wins or losses.

Intellectual property: A work or invention that is the result of creativity, such as inventions, literary and artistic works, designs and commercial symbols, names and images, to which one has rights and for which one may apply for a patent, copyright or trademark.

Kickback: A kickback is an illegal payment made in order to receive preferential treatment or other inappropriate services. The payment could be anything of value including cash, entertainment, gifts, and services. Giving or receiving any form of kickback is a corrupt practice that can compromise one's ability to make unbiased decisions.

Legal hold: A legal hold is a process to preserve all forms of potentially relevant information when litigation is pending or reasonably anticipated.

Money laundering: Money laundering describes the attempt to disguise illegal funds by transferring such funds through legitimate businesses. There are many types of financial crime that relate to money laundering, including forged financial documents, financial exploitation of vulnerable persons, computer intrusion and identity theft, to name a few.

Personal information: Information that can help identify an individual. It can include someone's name, email, date of birth, address, ethnicity, race, identifying numbers and employment history.

Personal relationship: A relationship with a family member or another person you are close to that might impair your independent judgment or influence your decisions or actions concerning Lincoln's business.

Physical assets: Material items of value that belong to our company, including cash, properties, buildings, office furnishings, equipment, inventory, office supplies, phones and computers.

Retaliation: Retaliation is when a negative consequence or punishment is imposed on an employee for engaging in protected activity, such as making a good faith report of misconduct or participating in an investigation. Retaliation can take many forms and is sometimes subtle.

 

Helpful resources

 

Resource

GraphicLine

For help with:

GraphicLine

Contact:

GraphicLine

Report a concern

GraphicLine GraphicLine

Concerns or questions about environmental, social or philanthropic issues

GraphicLine

Concerns or questions about compliance issues

GraphicLine

Concerns or questions about harassment, discrimination or unfair treatment

GraphicLine

Concerns or questions about outside inquiries or requests

GraphicLine

Brand education, tools, templates, logos and guidelines

GraphicLine

Concerns or questions about money laundering or fraud

GraphicLine

Concerns or questions about privacy

GraphicLine

Concerns about possible violations of our Code of Conduct or other concerns

GraphicLine
 
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