RubinBrown Team Member Manual

Section: Financial Integrity of Team Members 801

Policy Title: Policy Number:

Personal Conduct

Effective Date:

Supersedes Policy Dated:

06/01/2024

06/01/20223

Background: It is important to recognize that RubinBrown is a professional services firm to which the public and clients entrust expressive financial matters. Client and public confidence is essential to the continued success of RubinBrown. Policy: The personal financial integrity of RubinBrown team members and the manner in which team members conduct personal affairs is imperative in keeping with the highest standards of financial character and integrity. No team member should incur financial obligations that cannot be fulfilled. The failure to meet personal financial obligations can be harmful to RubinBrown’s reputation in the community and may have an adverse affect on the team member’s job performance as well as exposure to unusual susceptibility to dishonesty. Procedure: If a Career Advocate(s) or member of Management Group has reason to believe a team member is experiencing personal financial difficulties, the Career Advocate(s) or member of Management Group will review the situation with the Firm Managing Partner. If circumstances warrant, periodic credit checks on team members may be run by Human Resources, in confidence. If appropriate, the Career Advocate(s) or member of Management Group will proceed in accordance with the statements contained in the “Employee Assistance Program”, Policy Number 409. If garnishment proceedings are instituted against a team member, RubinBrown must withhold from disposable earnings any amounts required by law. Retaliation against any team member simply because the individual is subject to wage withholding is strictly prohibited. Anyone engaging in retaliation will be subject to immediate discharge. Violation of this Policy will subject the team member to disciplinary action up to, and including, termination to the extent permitted by federal and state law.

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