Dorien Nunez, �President & Dir of Research, OMNIResearch Grp�Sr Fellow, IEN��CFA DEI Guidelines Review �Presentation��IEN JEDI Committee 3-21-23

2022

CFA INSTITUTE

DIVERSITY, EQUITY and INCLUSION CODE

(USA and CANADA)

Diverse Groups

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This is an indicative list for consideration; it does not just designate legally protected groups, but also a range of groups to which organizations may wish to give consideration. However, additional groups may be relevant to signatories, and they should also be included as needed to support their work accelerating DEI. Further detailed and regionally differentiated information appears in the Implementation Guidance and in the Reporting Framework.

• Gender
• Gender expression/identity
• Sexual orientation
• Race
• Indigenous groups
• Ethnicity
• Generation (e.g., Gen Z, millennials, Gen Y, seniors)
• Socioeconomic status

• First generation college students
• Mental well-being
• Other, such as citizenship status and non-native-language speakers
• Intersectionality of two or more groups
• Ability (e.g., vision, hearing, speech, mobility, learning differences)
• Religion
• Veteran status
• Neurodiversity

Six Principles

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Principle 1: PIPELINE—We commit to expanding the diverse talent pipeline.

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Principle 2: TALENT ACQUISITION—We commit to designing, implementing, and maintaining inclusive and equitable hiring and onboarding practices.

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Principle 3: PROMOTION AND RETENTION—We commit to designing, implementing, and maintaining inclusive and equitable promotion and retention practices to reduce barriers to progress.

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Principle 4: LEADERSHIP—We commit to using our position and voice to promote DEI and improve DEI outcomes in the investment industry. We will hold ourselves responsible for our firm’s progress.

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Principle 5: INFLUENCE—We commit to using our role, position, and voice to promote and increase measurable DEI results in the investment industry.

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Principle 6: MEASUREMENT—We commit to measuring and reporting on our progress in driving better DEI results within our firm. We will provide regular reporting on our firm’s DEI metrics to our senior management, our board, and CFA Institute.

CFA Institutes’ Commitment

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In addition to the Principles, we undertake to accelerate and amplify their impact by making the economic, business, and moral case for DEI as follows:

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• COLLABORATE (economic case) with other firms to publicize careers in the investment industry and provide informational materials, combined with concerted outreach to extend economic opportunities.

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• SHARE (investment and business case) tried and tested DEI practices with other signatories, working and learning together to develop new, aspirational strategies and to build awareness that integrating DEI can improve investment outcomes and enhance business success.

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• PROMOTE (moral case) acceptance and implementation of the Principles within the investment industry by speaking about our progress and socializing the DEI Code and the Principles with our global workforce and colleagues to improve understanding of the wider society we serve.

Firms that have signed on to CFA’s DEI ‘CODE’