4 3 | T M X G R O U P S U S TA I N A B I L I T Y R E P O R T 2 0 2 4 REPORT CONTENTS ABOUT THIS REPORT SUSTAINABILITY STRATEGY SUSTAINABILITY GOVERNANCE PROSPERITY PLANET PEOPLE APPENDICES Managing Conflicts of Interest CODE ACCOUNTING METRIC UNIT OF MEASURE 2024 2023 FN-EX-510a.1 Total amount of monetary losses as a result of legal proceedings associated with fraud, insider trading, anti-trust, anticompetitive behavior, market manipulation, malpractice, or other related financial industry laws or regulations Number 0 0 FN-EX-510a.2 Discussion of processes for identifying and assessing conflicts of interest Please refer to Conflict of Interest under Appendix E. CODE ACCOUNTING METRIC UNIT OF MEASURE 2024 2023 FN-EX-410a.4 Description of policy to encourage or require listed companies to publicly disclose environmental, social, and governance (ESG) information It is a cornerstone policy of TSX and TSXV that all persons investing in securities listed on the equity exchanges have equal access to information that may affect their investment decisions. Public confidence in the integrity of the equity exchanges as securities markets requires timely disclosure of material information concerning the business and affairs of companies listed on the exchanges. This includes information regarding ESG related information. In addition, TSX and TSXV believe that strong corporate governance practices are essential to maintain a fair and orderly market for listed securities, this includes governance in general, but also governance of ESG factors. That is why TSX: • monitors compliance with the following sections of the TSX Company Manual that contain policies regarding governance: Section 325, Section 423.6, Section 461.1, Section 461.2, Section 461.3, Section 461.4: Section 716 and Part VII and • mandates CIRO to monitor the Timely Disclosure Policy. And TSXV: • monitors compliance with the following Exchange Policies on governance: Policy 3.1, and Policy 3.2 and • mandates CIRO to monitor the following Exchange Policies on disclosure, Policy 3.3 and other policies containing special timely disclosure requirements, on behalf of TSXV. Under Canadian securities regulations, issuers must disclose all material information regarding their business and affairs, which includes ESG related risks and opportunities. The fundamental principle is that issuers should provide all information that would be material to an investor’s investment decision, including material information about environmental and social issues. The CSA requires issuers to regularly update the market about material information pertaining to their business and affairs in disclosure documents, such as financial statements, the Annual Information Form and Management’s Discussion and Analysis.
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