Ethics and Compliance

Our focus on doing the right things – the right way – for our clients.

In a dynamic world and with complex businesses, it is critical to continuously enhance awareness of our expectations for ethical behavior. Honoring the trust clients place in us requires supporting a culture where we can recognize unethical behavior, feel comfortable and safe reporting it, and have confidence that it will be dealt with appropriately.

Ethics and Compliance Mission

We strive to do the right things – the right way – for our clients. We promote ethical behavior by providing employees access to best practices and resources that align with our respect for those who place their trust in us, while encouraging open and constructive dialogue throughout our community. Most of all, we work to continuously demonstrate our belief that in everything we do, ethics matter most.

Our Goals

Through the leadership of Suzanne Spradley, NFP’s chief compliance officer, associate general counsel, and the active participation of every member of the NFP community, we commit ourselves to working toward these goals:

• Promote ethical behavior and an ethical culture
• Educate employees on ethical practices and resources
• Demonstrate our commitment to clients, partners, vendors and prospective employees
• Showcase how we strive to do the right things the right way

A Culture of Honesty and Accountability

A key element of our culture is a shared commitment to conducting ourselves in a manner that reflects our values. This starts with our code of conduct. We enhance our ability to build strong personal relationships based on trust, transparency and active communication, and demonstrate our commitment to the well-being of our employees and clients, when we understand and follow this code. All employees, officers, directors and managing directors are expected to act in accordance with our guiding principles.

Speaking Up

NFP is committed to an environment where open, honest communication is the expectation, not the exception. If you have something to report or questions about something you observed, please use the NFP EthicsPoint Helpline at 855.296.9085 or nfp.alertline.com. All inquiries are taken seriously. Every situation is investigated by the appropriate team member(s) for resolution, and retaliation in any form is not tolerated.

An Inclusive, Respectful Workplace

The safety and well-being of our employees is a priority, as is our work to continuously advance inclusion and belonging. This includes maintaining a working environment free from discrimination and harassment. Review our Non-Discrimination and Anti-Harassment Policy.

Keeping Client Data Safe

Protecting sensitive client data is an important element of our ethical culture. To keep this data safe, we have established clearly defined internal processes supported by a HIPAA compliance team that includes legal and field personnel. For more details, please refer to the NFP HIPAA Handbook.

We invite our clients, partners, communities, families and friends to join us in demonstrating a commitment to ethical practices. Together, we can continuously evolve and support stronger cultures that elevate awareness, safety and mutual respect.

Information Security Audits

NFP has undergone both ISO 27001 and SOC 2 audits, reiterating our commitment to robust information security and data integrity.

ISO 27001, an internationally recognized standard, verifies that our information security management system meets stringent global requirements, safeguarding data through a systematic approach to risk management. (Management System: Information Security Management System. Applicable Standard: ISO/IEC 27001:2022. Certification Body: Schellman)

Meanwhile, SOC 2 compliance assures our clients that we adhere to industry best practices for handling and securing data, focusing on numerous key trust service principles.

These audits provide external validation of our dedication to protecting sensitive information, enhancing trust with our clients, and consistently meeting regulatory and operational standards.