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Operate with Integrity Our ethical commitments extend into all areas of our business, and we embrace the importance of conducting our business in full compliance with all applicable laws and regulations. We employ extensive Know your Client (KYC) measures, and we have continued to invest in advancing these measurestokeeppacewiththerapidlyevolvingindustrylandscape. Whistleblower Policy CommitmenttoBestExecution CanaccordGenuityhasaWhistleblowerPolicyinplacewhich Asaparticipantinmultiplemajormarketplacesaroundtheglobe, includesproceduresforreportinganycomplaintsregarding wearecommittedtothebestexecutionofeachclientorder accounting, internal controls and other financial reporting matters. available under the circumstances.Ourpoliciesandprocedures TheAuditCommitteehas establishedproceduresforthereceipt, for best execution apply equally to all orders from retail clients, retentionandtreatmentofcomplaintsreceivedbytheCompany, institutional clients and other dealers to which we provide trading andfortheconfidential,anonymoussubmissionifan employeehas services. anyconcernsregardinganypracticeorpolicywithinthefirm. RiskManagementFramework ConflictofInterestPolicy OurfirmwideEnterpriseRiskManagement(ERM)frameworkis In keeping with our commitmenttotreatingcustomersfairly,we critical to maintaining our company’s ongoing financial stability and will never knowingly put ourselves intoaposition whereour own businesscontinuity. Theframeworkemploysaholisticapproachto interests, or our responsibilities to another client, prevent us from identifying significant risks that may impact the strategic objectives undertakingourdutytoourclients.Acrosstheorganization,we of the business and developing aprocess to managerisks within haveinternal policies and procedures specifically established to ouroverall risk appetite. TheAudit CommitteeofCG’sBoardof managepotentialconflictsofinterest,andtheyaresubjectto DirectorshasoversightovertheERMprogram,whichservesasan ongoingmonitoringandreviewprocesses. importantelementofthefirm’sriskgovernance.TheERMgroupis responsible for identifying material risks inherent to the business, PrivacyPolicy settingappropriatetolerancelevels,monitoringriskmanagement Wehaveadoptedpolicesandproceduresthataredesignedto processes, and taking corrective actions, where necessary, to ensurethesecurityandconfidentialityofcustomerinformation. manageandmitigatesuchrisks,including,butnotlimitedto, In addition, these policies and procedures are designed to prevent market,credit,operational, andliquidity risks. unauthorizedaccessoruseofclientrecordsandinformation. SASB: SystemicRiskManagement | BusinessEthics | ProfessionalIntegrity

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