Asset Management & Custody Activities Industry ESG Material Mapping

FN-AC-510a.1Total amount of monetary losses as a result of legal proceedings associated with fraud, insider trading, anti-trust, anti-competitive behavior, market manipulation, malpractice, or other related financial industry laws or regulations

FN-AC-510a.2Description of whistleblower policies and procedures

FN-AC-330a.1Percentage of gender and racial/ethnic group representation for (1) executive management, (2) non-executive management, (3) professionals, and (4) all other employees

FN-AC-410a.1Amount of assets under management, by asset class, that employ (1) integration of environmental, social, and governance (ESG) issues, (2) sustainability themed investing, and (3) screening

FN-AC-410a.2Description of approach to incorporation of environmental, social, and governance (ESG) factors in investment and/or wealth management processes and strategies

FN-AC-410a.3Description of proxy voting and investee engagement policies and procedures

FN-AC-550a.1Percentage of open-end fund assets under management by category of liquidity classification

FN-AC-550a.2Description of approach to incorporation of liquidity risk management programs into portfolio strategy and redemption risk management

FN-AC-550a.3Total exposure to securities financing transactions

FN-AC-550a.4Net exposure to written credit derivatives

FN-AC-270a.1(1) Number and (2) percentage of covered employees with a record of investment-related investigations, consumer-initiated complaints, private civil litigations, or other regulatory proceedings

FN-AC-270a.2Total amount of monetary losses as a result of legal proceedings associated with marketing and communication of financial product-related information to new and returning customers

FN-AC-270a.3Description of approach to informing customers about products and services