Operate with Integrity Ourabilitytocontributetopositiveandlastingchangecanonlybeeffectiveif weincorporateourESGprioritiesintotheday-to-dayresponsibilitiesof our Ourfirststepinoperatingwithintegrityisensuring ModernSlaveryAct leadershipteamandallemployees. that all CG employees, directors and officers adhere OurModernSlaveryActStatementconfirmsour to our CodeofBusinessConduct& Ethicswhich commitmenttoconductingbusiness ethically and CommitmenttoGovernanceStandards embodiesourcommitmenttoconductingour ensuringthatthereisnoslaveryorhumantrafficking AsoutlinedinourannualManagementInformationCircular,theCompanyunderstandsthe businessinaccordancewithallapplicablelaws, rules in any of our supply chains. In the UK, staff are importanceofregularandconstructiveengagementtoencourageshareholderstoexpresstheir andregulationsandthehighestethicalstandards. providedtrainingtoensuretheyhaveahighlevelof viewsoncorporategovernanceandothermatters,compensationphilosophyanddisclosure understandingoftherisksofmodernslaveryinour matters.Overthepastfiveyears,theCompanyhashadextensivediscussionswithitslargest All CanaccordGenuityemployees,officers,directors businessandsupplychains.Weexpectoursuppliers shareholdersaboutcompensationphilosophyandcorporategovernancewhichhaveshapedthe andconsultantsareexpectedtoadheretothe to meetthesamehighstandards. Company’spractices.Morerecently,issuesofEnvironmentalandSocial practiceshavemovedto principles and procedures set forth in the Code theforefrontofthesediscussions. Asaresultofthesediscussions,ESGwasaddedasaformal of Business ConductandEthicsandarerequired Anti Money-Laundering /AntiTerrorist mandateforourBoardofDirectors,andwewillalsobeincorporatingESGconsiderationsintoour to review and certify acknowledgement and Funding executive compensation framework. understandingofthePolicyinwritingonanannual Wehaveanti-moneylaunderingprograms,policies basis. andproceduresinplacedesignedtopreventmoney EmployeeTraining& Engagement Weencourageallemployeestofeelcomfortable launderingandanyactivitythatfacilitatesmoney Asyouwilllearninthepagesofthisreport,allCanaccordGenuityemployeesareencouraged engaginginadialoguewiththeirsupervisor,senior launderingor the funding of terrorist or criminal toparticipateinabroadrangeoftrainingandcontinuingeducationprogramsinconnection management,ortheAppropriateEthicsContactsin activities through CG’s facilities, and to comply with withourongoingbusinesscontinuityplanning,regulatoryandemployercommitments.While eachgeographyonmattersrelatedtoviolationsof all reporting obligations in each jurisdiction. wehaveintroducedseveralprogramstoincreaseemployeeengagementandeducationon law, securities regulations, firm policies and the Code. keycorporatesocialresponsibilitytopics,beginningin2022wewillenhanceourmandatory training for all employees on ethical standards and key ESG priorities. TheCodeoutlinestheprocessforreporting SupportingourClientsinMakingInformedChoices violations and covers the following topics: In responsetoincreasingdemandfromclients,wearedoingourparttoencouragerobust • Personalconflicts of interest ESGdisclosurefromthecompaniesanddealersofinvestmentproductsthatweintroduceto • Public disclosure ourclients. Our equity researchteamsprovideinsightsaboutpotential opportunitiesforour • Compliancewithlaws, rulesandregulations clients across sectors and geographies, complementedby timely andthematic conferences. • Corporateopportunities Whileweacknowledgethatmanyoftheearly-stageofthebusinessesthatweworkwithmay • Confidentiality nothave extensiveresourcestocommittoformalESGdisclosures,evensmallstepscanlead • Fair dealing to meaningful impactover time. • Equal employmentopportunityandharassment • Protectionandproperuseoffirmassets • Social media SASB: EmployeeIncentives&RiskTaking | BusinessEthics | ProfessionalIntegrity | IncorporationofESGintoInvestmentManagement&Advisory