Report Potential Misconduct

Code of Conduct

Our Code of Conduct (Code) applies to all employees. All employees have a role in maintaining the trust of our customers and stakeholders and complying with applicable laws and regulations. Employees are expected to adhere to the Code of Conduct (Code) PDF, Employee Handbook, and company policies and to comply with applicable laws and regulations.

When an employee becomes aware of potential misconduct they are responsible for speaking up promptly, even if the employee is not directly involved or affected by the behavior.

Misconduct

Misconduct is employee or third-party conduct that is unlawful, unethical, or conflicts with the Company’s expectations on ethical and lawful behavior outlined in the Code.

Misconduct may include theft, fraud, money laundering, falsifying or providing false or misleading information or data, unfair or deceptive business practices or representations, anticompetitive behaviors, insider abuse, insider trading, unjust enrichment, conflicts of interest, gifts and entertainment misuse, improper sales practices, bribery and other forms of corruption, expense reporting abuse, unapproved communications to circumvent controls, information security violations, hiding or misrepresenting material risks and issues, violence and threats of violence, destruction or misuse of company assets, harassment, discrimination, and retaliation.

Speaking Up

Resources to report potential misconduct

Employees are expected to report potential misconduct to their manager. If employees are uncomfortable doing so, they can report through the other reporting channels listed below.

Reporting channels

• Employee Relations
• EthicsLine by phone
  • U.S. and Canada: 1 800 382 7250
  • Non-U.S. use link and select country for specific dialing instructions
• EthicsLine Online Reporting

Nonretaliation Commitment

Wells Fargo prohibits retaliation against any employee who reports misconduct or speaks up in good faith about potential violations of company policies, procedures, the Code, or potential noncompliance with law. Similarly, Wells Fargo prohibits retaliation against any employee who assists or participates in an investigation, proceeding, or hearing, or exercises any right protected by law.

When you speak up you can expect your report to be:

• Kept confidential to the extent permitted by law. All information (research, investigation, and any corrective active taken) remains confidential by all parties involved and is only shared with those who have a legitimate business need to know.
• Promptly evaluated, assessed, and immediately escalated to the proper research or investigative team or teams.
• Fairly, reasonably, and thoroughly researched and investigated in a timely manner with the goal of understanding and resolving the underlying problem that led to the report.

Note: Because of the sensitivity of the information included when concerns are reported, you are generally not notified as the investigation progresses.

Questions

The Ethics Office is here to help anytime you have a question, need help deciding what to do, or are unsure whether you should speak up and report an issue. You can contact the Ethics Office at ethics@wellsfargo.com.

Published July 25, 2024