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her supervisor. In the event that this is not possible f'or any reason, or the Associate is uncomfortable reporting the conduct to Iris or her supervisor, the Associate must report the conduct to Hunan Resources. The reporting and investigation of allegations of retaliation will follow the procedures set forth in the reporting and investigation of discrimination or harassment. Any person found to have retaliated against an individual for reporting discrimination or harassment, or for participating in an investigation of allegations Of any such conduct, will be subject to disciplinary action, up to and including termination of employment. Reporting and Investigation It is the responsibility of every Associate to further the implementation of the Firm's policies forbidding discrimination, harassment, and retaliation. If any Associate believes that lie or she has been subjected to discrimination, harassment, or retaliation, or believes that he or she has witnessed any form of discriminatory, harassing, or retaliatory conduct in the workplace, he or she is required to report the incidcru(s) to his or her supervisor. hi the event that this is not possible for any reason, or the Associate is uncomfortable reporting the conduct to his or her supervisor, the Associate must report the incident(s) to Human Resources or to Stifel's Legal Department. An Associate may also report an allegation to the Firm's EdiiesPoint Ilotline by calling 1-966-514-5292_ An appropriate person will conduct a prompt and thorough investigation of the allegations. Because discrimination, harassment, and retaliation issues can be sensitive, Stifel will take reasonable efforts to protect the privacy of all parties involved. However, confidentiality cannot be assured because it may be necessary to discuss allegations with the accused individual or others in or der forthe Firm to conduct a thorough investigation. As with any other investigation conducted by the Firm, Associates involved in an investigation must: • Cooperate fully; • Be completely honest and forthcoming; and • Agree to limit the flow of information only to those who need to know as determined by the Firm. If, as a result of the investigation, it is determined that unlawful discrimination, harassment, and/or retaliation has occurred, the Firm will take such prompt remedial action as it deems reasonably necessary under the circumstances to both stop the inappropriate conduct and prevent it from I'Mirruig in the future. Depending on the circumstances, appropriate remedial action may take the form of disciplinary action, up to and including ternination of employment. If an investigation results in a finding that an Associate knowingly made a false complaint, or a witness knowingly made a false statement, disciplinary action may be takcn, up to and including termination of employment. P. uetivc 2019 S ubsp; C;ily COpOCII  23 lndash:lnbsp;227 5/1 S/2021 @nhsp;