Safe Reporting Portal

READ THIS NOTICE FIRST BEFORE USING ETHICSPOINT

Federated Investors, Inc. (including Hermes Fund Managers Limited (“Hermes”) and other domestic and offshore subsidiaries, “Federated”) provides access to Safe Reporting Portal (hosted by EthicsPoint by NAVEX Global) so that employees, customers and vendors have a confidential and anonymous resource to provide information to its Internal Compliance Committee, the Board of Directors/Trustees of Federated Investors or its Funds (or their non-management directors), and their respective Audit Committees, and, for Federated’s subsidiary Hermes, its Risk and Compliance Committee and its Fund Boards (if relevant), regarding the following topics pertaining to Federated (including Hermes):

  • Accounting/Auditing Related Complaints or Concerns
  • Fraud/Misconduct
  • Code of Ethics Violations
  • Securities Violation
  • Compliance and Regulatory Violations (Financial and Non-Financial)
  • Shareholder Concerns
  • Conflicts of Interest
  • Theft (Financial and Other)
  • Copyright or Trademark Infringement
  • Vendor Concerns
  • Corruption or Bribery
  • Individuals are encouraged to discuss with management any concerns related to the above categories of matters. If individuals do not feel comfortable in doing so, Safe Reporting Portal is available to them to file reports on a confidential and anonymous basis.

    Safe Reporting Portal should be used for reporting legitimate information and concerns relating to the above categories of matters. Reports should not be based solely on rumor, include untrue statements or statements that could be viewed as defamatory, or be submitted to further personal grudges or agendas. Employees should, and are encouraged to, address Human Resources-related matters by directly contacting their Manager or a representative in the Human Resources department.

    Confidentiality is an important feature of Safe Reporting Portal. If you wish to remain anonymous toward Federated (including Hermes), do not include your name in any section of the Incident Report Form below the “Anonymity” section. Please note that any personal information included below the “Anonymity” section will be accessible to Federated (including Hermes).

    Nothing prevents reporting or receiving financial awards from the government resulting from reporting possible violations of federal law or regulation to any governmental agency or entity, or making other disclosures, protected under the whistleblower provisions of federal law or regulation, including, without limitation, good faith disclosure on a confidential basis of Confidential Information constituting "Trade Secrets" as defined in 18 U.S.C. § 1839, and so long as such disclosures are consistent with 18 U.S.C. § 1833. Equally, nothing precludes reliance on the UK Public Interests Disclosure Act 1998.

    See Safe Reporting Portal FAQs for more information.

    To Make a Report

    After you complete your report you will be assigned a unique code called a "report key." Write down your report key and password and keep them in a safe place. After 5-6 business days, use your report key and password to check your report for feedback or questions.