Fortuna Mining (NYSE: FSM) refreshes global ethics and conduct standards
Rhea-AI Filing Summary
Fortuna Mining Corp. furnished an updated Code of Conduct and Business Ethics outlining expectations for directors, officers, employees, and business partners. The Code covers speaking up, non-retaliation, anti-discrimination, harassment, workplace safety, protection of company assets, confidentiality, conflicts of interest, accurate recordkeeping, and responsible communications.
It also details rules on gifts and entertainment, anti-bribery and anti-corruption, fair competition, data privacy, and insider trading. The Code emphasizes environmental protection, sustainability, and human rights, and requires annual and onboarding compliance certificates. It was approved by the Board of Directors on November 4, 2025, and waivers are tightly controlled.
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Key Figures
Key Terms
Ethics Helpline financial
Anti-Corruption Policy regulatory
insider trading financial
material nonpublic information financial
Sarbanes-Oxley Act of 2002 regulatory
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 6-K
REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR
15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934
For the month of April 2026
Commission File Number 001-35297
Fortuna Mining Corp.
(Translation of registrant’s name into English)
1111 Melville Street, Suite 820, Vancouver, British Columbia, Canada V6E 3V6
(Address of principal executive office)
Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.
| FORM 20-F ¨ | FORM 40-F x |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| Fortuna Mining Corp. | ||
| Date: April 17, 2026 | (Registrant) | |
| By: | /s/ "Jorge Ganoza Durant" | |
| Jorge Ganoza Durant | ||
| President and CEO | ||
Exhibits:
| 99.1 | Code of Conduct and Business Ethics |
Exhibit 99.1
C ode o f C onduc t an d Busines s Ethics
C on t ent s A Message From Our P residen t , CE O , and Dir e c t or ................ .3 Li v e Our V alues .......................................................................... .3 K n o w Our C ode .......................................................................... .4 Who Must Foll o w Our C ode 4 Speaking Up 4 No R etaliation 5 Fos t er a Health y W orkpla c e ..................................................... .6 No Discrimination 6 Anti - harassment 6 W orkpla c e Health and Sa f ety 6 P ro te ct Our C ompan y ................................................................ .8 Use o f C ompan y Assets 8 C onfidential In f ormation 8 C onflicts o f In t erest 9 A c cura t e R e c ord k e eping and R esponsible C ommunications 9 Gi f ts and En t e r tainment 10 Foll o w the Law ........................................................................ . 11 Anti - briber y and Anti - c orruption 11 Fair C ompetition 12 Data P riva c y 12 Insider T rading 12 Be a Good S t e ward .................................................................. . 13 Environmental P ro te ction and Sustainability 13 Human Rights 13 P olitical A ctivities 14 Ma k e Y our C ommitment ......................................................... . 15 Find Help .................................................................................. . 16 W ai v ers ...................................................................................... . 16 Ef fe cti v e Da t e ........................................................................... . 16 D O T H E R I GH T THI N G P r o vides suggestions t o help y ou adhere t o the C ode W A T C H O U T FO R Sets out situations which ma y lead t o breaches o f the C ode DI G D EEPE R P r o vides links t o rel e vant c orpora t e g o v ernan c e policies o f the C ompany What If? Gi v es e xamples o f breaches or po t ential breaches o f the C ode , t ogether with sugges t ed c ourses o f action F O R T U N A M I N I N G / C O D E O F C O N D U C T A N D B U S I N E S S E T H I C S Find Help Helpline Home 2 N e xt
A Message From Our P residen t , CE O , and Dir e c t or Dear C olleagues, I b e l i e v e t ha t h o w w e cho ose t o d o o u r w o r k i s as i mp o r ta n t a s t he w o r k w e d o and t h e r es u lt s w e a ch i e v e . Fo r tuna and it s su b s i d i a r ie s h a v e al w ay s b e en f ocu sed o n m in i n g with pr i d e a n d pu r po s e an d br i n g ing a p o s i ti v e im p ac t on so ci e t y b y pr om oting t h e susta i nab le adv a n c e m ent o f t he c o mmuniti e s w her e w e o p e ra t e . W e must ensure w e remain c ommit t ed t o living up t o the values that ha v e and will c ontinue t o guide our actions . The t ool that all o ws us t o turn those values in t o actions is our C ode o f C onduct and Business Ethics (“ C ode ”) . The C ode is more than the rules w e ’ re e xp e c t ed t o f oll o w — it ’ s our go - t o t ool f or navigating c omplica t ed situations and prioritizing honest y , transparen c y , and fairness . Ge t t o k n o w o u r C o de . I t ’ s the be s t p l a c e t o t u r n when y ou ’ r e n ot s u r e o f the rig h t c o urs e o f a c t io n . T he C o de w i ll hel p y o u do a n d sp e a k u p f o r what ’ s r ig h t . It c a n als o p oint y o u t o reso u r c e s a t F o r t una y o u can tu r n t o when y o u n e e d h e lp o r e xtr a g ui d an c e . Wh e n y o u ac t w ith i n te g r it y , y ou d on ’t j u s t st re ngth e n F o r tun a ’ s im a ge , y ou c o n t r i b u t e t o a n e nv iro n me nt c en t e r e d o n et h ic a l b ehav i o r - a pl a c e w he re e v er y p er son is a cc ou ntab l e , va l u e d , a nd p r ou d t o b e a p a r t o f th e F o r t u n a t e a m . Th a n k y o u f o r a ll y ou do t o u p h ol d t h e va l u e s th a t m a k e F o r tu n a e x c e pt io n a l an d a c o m pan y w e a re all prou d t o w or k f o r. (Signed) Jorge A . Gan o za P residen t , CE O , and Dir e c t or L i v e O u r V al ue s Our Mission C rea t e sustainable value through gr o wth o f our mineral reser v es , production , and efficient operation o f our assets , while remaining c ommit t ed t o sa f et y and social and environmental responsibilit y. Our V alues Health and Sa f e ty W e value the health and sa f et y o f our empl o ye es . W e do not t olera t e unsa f e actions or c onditions. Environment W e value the environmen t . W e adhere t o strict environmental standards and mitiga t e our impac t. C ommunities W e value our c ommunities . W e sh o w resp e ct f or cultural di v ersit y and w or k as a stra te gi c pa r tner t o enable the sustainable d e v elopment o f our neighboring c ommunities. E x c ellen c e W e value our c ommitment t o e x c ellen c e . W e achi e v e high standards and the best practi c es . In te gri ty W e value in te grit y . W e act in a cc ordan c e with our philosoph y. 3 Find Help Helpline Home F O R T U N A M I N I N G / C O D E O F C O N D U C T A N D B U S I N E S S E T H I C S Home C ORE V ALUES Find Help Helpline N e xt N e xt
K n o w O u r C o de Who Must Foll o w Our C ode All dir e c t ors , o ffi c ers , and empl o y e es , ( c oll e cti v el y re f erred t o as “ C ompan y P ersonnel ”) o f Fo r tuna and our subsidiaries ( c oll e cti v el y re f erred t o as “ Fo r tuna ” or the “ C ompany ”) are r e quired t o read , understand , and f oll o w this C ode o f C onduct and Business Ethics (the “ C ode ”) . T he C od e a lso applies t o e v e r y one w orkin g o n b eh a lf o f Fo r tu n a , incl ud i n g c onsul t a n ts , c on t rac t or s , s ub c on t rac t o r s , agents , su p pliers , a nd v e ndor s ( c o ll e cti v e l y re f e r red t o a s “ b u sine s s p a r tners ”) . E ach person t o w ho m thi s C od e a pp l i e s is sometimes r e f e r red t o a s “ y ou . ” T he C om p a n y h as a Su p plie r C ode o f B usines s C o n d u c t a n d Ethi c s t o pr o v ide f u r t h er guida n c e t o al l b usiness pa r tners o n t h e r e q u ire m e n t s f o r t h e main t enan c e o f a su cc essf u l c o m m e rci a l relati o nshi p . If y ou supervise our business pa r tners , y ou are responsible f or c ommunicating our standards and ensuring th e y are unders t ood . W e pr o vide a c o p y o f the C ode t o all C ompan y P ersonnel and business pa r tners . Y ou must read the C ode annuall y . All C ompan y P ersonnel must sign an Onboarding C omplian c e C e r tifica t e as pa r t o f the onboarding pro c ess and an Annual C omplian c e C e r tifica t e each y ear c onfirming that th e y ha v e read and understand , and will c ompl y with , the C ode . An y one who viola t es our C ode will be subj e ct t o disciplinar y action , up t o and including t ermination o f their empl o yment or other business relationshi p . Violations o f laws or r e gulations ma y also result in l e gal pro c e edings and penalties , which ma y include criminal pros e cution. Speaking Up If y ou b e c ome aware o f a po t ential or susp e c t e d violation o f our C ode , our policies , or the la w , y o u must promptl y repo r t the violation . In pa r ticula r , y ou ha v e an obligation t o c ommunica t e c on c erns or c omplaints relatin g t o a cc ounting , in t ernal c ontrols , sa f et y standar d violations , auditing mat t ers , disclosure , fraud , ill e gal behavio r , and unethical business practi c es , including the f oll o wing: • Fraud or delibera t e error in the preparation , e valuation , r e vi e w , or audit o f an y financial sta t ement o f the C ompany; • A breach ( or a susp e c t ed breach) o f sa f et y standards; • Fraud or delibera t e error in the r e c ording and maintaining o f financial r e c ords o f the C ompany; • Deficiencies in , or non c omplian c e with , the C ompany ’ s in t ernal c ontrols o v er financial repo r ting; • Misrepresentation or false sta t ement t o or b y a senior o ffi c e r , a cc ountan t , or e x t ernal audi t or r e garding a mat t er c ontained in the financial r e c ords , financial repo r ts , or audit repo r ts o f the C ompany; or • D e viation from full and fair repo r ting o f the C ompany ’ s financial c ondition. W e en c ou r age y o u t o ta l k t o y o ur m an ag e r i f y o u s e e or s u s p e c t a v io l a tio n o f our C o d e or i f y o u h a v e a quest ion abo u t th e r e qu ir e m ents o f o u r C o de . If y ou are un c om f o r table speaking with y our manage r , y ou can c ontact: • Another member o f managemen t. • The Human R esour c es Depa r tmen t. • Our Chief C omplian c e Offi c er or y our Deput y C omplian c e Offi c e r. • The Ethics Helpline . Nothing in our C ode pr e v ents C ompan y P ersonnel from repo r ting possible violations o f pr o vincial la w , f ederal la w , or rela t ed r e gulations t o an y g o v ernmental agen c y , such as the C anadian P r o vincial S e curities C ommissions or the Uni t ed Sta t es S e curities and E x change C ommission. C on c erns should be c ommunica t ed in a timel y manner and should be made in good faith. F O R T U N A M I N I N G / C O D E O F C O N D U C T A N D B U S I N E S S E T H I C S Find Help Helpline Home 4 N e xt
What t o Exp e ct When Y ou Use the Ethics Helpline The Ethics Helpline w eb po r tal and phon e line are available 24 hours a da y , s e v en day s a we ek . It is opera t ed b y an independen t thi rd - pa r t y p r o v i d e r o f c o r p o r a t e c o mplia n c e servi c es , and y our c on c erns will b e documen t ed in detail and f orwarded t o the C ompany ’ s C orpora t e Of f i c e f or fu r the r in v estigation. Y ou ma y choose t o remain anonymous . All repo r ts r e c ei v ed will be trea t ed e quall y , whether th e y are submit t ed anonymousl y or no t . A f t er y ou ma k e a repo r t , y ou will r e c ei v e an identification number so y ou can f oll o w up on y our c on c ern . Foll o wing up is esp e ciall y impo r tant if y ou ha v e submit t ed a repo r t anonymousl y , as w e ma y n e ed additional in f ormation t o c onduct an ef fe cti v e in v estigation . This identification number will also enable y ou t o trac k the resolution o f the case; h ow e v e r , please no t e that the C ompan y will not in f orm y ou about the sp e cifi c s t eps ta k en t o resol v e the case out o f a resp e ct f or priva c y. All repo r ts will be trea t ed c onfidentiall y t o the e x t ent permit t ed b y applicable la w. R emembe r , an issue cannot be addresse d unless it is brought t o som e on e ’ s at t ention . What I f ? I s us p e c t m y m an ag e r m ig h t b e i n v o l v e d i n s o m e u net h i c a l b e h av io r . I k n o w I sh ou l d r e p o r t m y c o n c er n s . I am t hi n k i n g a b o ut u si n g t h e E th i c s H e lp li n e , b ut I a m c o n c e r n e d a b o ut r et alia t io n. Y ou a r e r e qu i r ed t o r e p o r t m is c o n du c t an d , i n y ou r si t u a ti on , usin g t h e E t hi c s H e lp l ine is a g oo d o p t io n . W e w i ll i n v e s t i g a t e y o ur c on c e rn s an d m a y n ee d t o t a l k t o y o u t o g a t h e r a d d i t ion al i n f orm a t io n . A f t er y o u m a k e t h e r e p o r t , if y o u b e l i e v e y o u a r e e x p e r ie n ci n g a n y r e t a li a t ion, r e p o r t i t as s et out in th e S p e a k in g U p s e c t ion . W e t a k e c lai m s o f r e t a li a t io n s er i ou s l y . Re p o r ts o f r e t a li a tio n w il l b e tho r o u gh ly i n v e s ti g a t e d an d , if t h e y a r e t r u e , r et ali a t or s w ill b e di s cip l in e d. No R etaliation Our C ode pr o vides a wa y f or C ompan y P ersonnel , business pa r tners , and cus t omers t o raise c on c erns and be reassured that th e y will be pro te c t ed from reprisals or victimization f or whistle - bl o wing in good faith. W e w i l l n o t t o l e ra t e a n y r e t ali a tio n a g a i n s t a n y o n e w h o , in g o o d fa i th , a sks a que s t i o n , r e p o r t s c o nd uc t th at ma y b e in c o ns i s t ent w i t h ou r C o de , ou r p o lic ies , or appli c able l a w , o r as s i st s in an in v est ig at i on o f s u s p e c t e d wro n gd o ing . A n y C o m p a n y P er son n e l w ho ha s b e en f o u nd t o ha v e e nga g ed i n r eta l iati o n a g a in s t a n ind i vid u a l f o r r a i s ing , i n go o d fa it h , a c onduct c o n c e rn o r f o r p a r t i c ip a t in g in t h e i n v e s ti g ati o n o f s uch a c o n c er n m a y be subj e ct t o d isc i plin e up t o a n d inc l u d ing t e r mi n a tio n o f em p l o yment or othe r b u si ne ss rel a tio ns hi p. What Does R epo r ting “in Good Faith ” Mean? It means making a genuine at t empt t o pr o vide hones t , c omple t e , and a c cura t e in f ormation , e v en if it la t er turns out t o be un f ounded or mista k en . F O R T U N A M I N I N G / C O D E O F C O N D U C T A N D B U S I N E S S E T H I C S Find Help Helpline Home 5 N e xt
No Di s cri m i n a t i on The C ompany ’ s empl o yment d e cisions are based on reasons rela t ed t o our business , such as job per f orman c e , individual skills and talents , and other business - rela t ed fac t ors , in c omplian c e with all applicable empl o yment laws . Discrimination is the unfair treatment o f a person on the basis o f one or more prohibi t ed grounds o f discrimination . W e prohibit discrimination on ra c e , c olo r , religion , gende r , s e xual orientation , nationalit y , ethni c origin , social status , marital status , disabilit y , or age , or on the basis o f an y other personal charac t eristics pro te c t ed b y applicable la w. W e are c ommit t ed t o policies and pro c edures t o ensure fair empl o ymen t , including e qual treatment in r e cruitmen t , promotion , c ompensation , training , and t ermination. Anti - harassment W e all ha v e the right t o w or k in an environment that is fr e e from intimidation , harassmen t , bullying , and abusi v e c onduc t . The C ompan y does not t olera t e v erbal or physical c onduct b y an y C ompan y P ersonnel that harasses anothe r , disrupts another ’ s w or k per f orman c e , or crea t es an intimidating , o f f ensi v e , abusi v e , or hostile w or k environmen t. If y ou s e e , susp e c t , or fe el y ou ha v e b e en the victi m o f harassment (including s e xual harassment) , repo r t it immedia t el y . Y ou’ll be helping t o preser v e a resp e ctful and producti v e w orkpla c e. S e xual Harassment A c ommon f orm o f harassment is s e xua l harassmen t , which , in general , o c curs when: • Un w el c ome actions are made a c ondition o f empl o yment or used as th e basis f or empl o yment d e cisions , such a s a r e quest f or a da t e , a s e xual fa v o r , o r other similar c onduct o f a s e xual nature. • An intimidating , o f f ensi v e , or hostile environment is crea t ed b y un w el c ome s e xual advan c es , insulting jo k es , or other o f f ensi v e v erbal or physical behavior o f a s e xual nature . W orkpla c e Violen ce Violen c e o f an y kind has no pla c e at our C ompan y . W e w on’t t olera t e: • Intimidating , threa t ening , or hostile behavio r. • C ausing physical injur y t o anothe r. • A cts o f vandalism , arson , sabotage , or other criminal activities. • The carrying o f firearms or other w eapons on t o C ompan y prope r t y unless y ou are authori z ed t o do s o. The C ompan y prohibits unlawful discrimination , harassmen t , and w orkpla c e violen c e in the juris - dictions it opera t es in. W orkpla c e Health and Sa f e ty W e are c ommit t ed t o ensuring the highes t possible standards o f health and sa f et y management and t o pr o viding sa f e and health y w orking c onditions in all areas o f our operations. R epo r ting risks and hazards is not just the righ t thing t o d o , it ’ s a r e quiremen t . A failure t o spea k up about an inciden t , or t o pa r ticipa t e in a n in v estigation in t o an inciden t , can ha v e seriou s repercussions f or our C ompan y and f or al l C ompan y P ersonnel. W e c ount on y ou t o acti v el y promo t e a sa f e an d health y w orkpla c e and t o repo r t an y situation s that ma y pose a health , sa f et y , or s e curit y risk. D O T H E R I GH T TH I N G • Foll o w the sa f et y , s e curit y , and health rules and practi c es that appl y t o y our jo b . • Notif y y our manager immedia t el y about an y unsa f e e quipment or an y situation that c ould pose a threat t o health or sa f et y or the environmen t . As C ompan y P ersonnel , y ou ha v e the right and the responsibilit y t o s t op an y w or k if y ou fe el y our sa f et y is at risk. • C oo pera t e wit h an y i n v e sti gati o n s in t o i n cid e nt s . W A T C H O U T F O R • Unsa f e practi c es or w or k c onditions. • C arelessness in en f orcing s e curit y standards , such as facilit y entr y pro c edures. Fo s t er a H e a l th y W o r kp la ce D I G DEEP ER Health and Sa f e t y P oli cy F O R T U N A M I N I N G / C O D E O F C O N D U C T A N D B U S I N E S S E T H I C S Find Help Helpline Home 6 N e xt
What I f ? I ’ v e no t i c e d s o m e p r a c t i c e s i n m y a r e a t ha t do n ’ t s ee m s a f e . Who c an I s p e a k to ? I ’ m n e w h e r e and do n ’ t w an t to b e c on s i d e r e d a t r oub l e m a k e r. D i sc u ss y ou r c on c e r n s w i t h y ou r m a n a g e r . T h e r e m a y b e v e r y g oo d r ea s on s f o r t h e p r a c t i c e s , o r y ou m a y b e b r i ng i ng t o li g h t a n i ss u e t h a t n ee d s t o b e a dd r e ss e d . I n e i t h e r c a s e , r a i s i n g a c on c e r n a b ou t s a f e t y d o e s no t m a k e y ou a t r ou b l e m a k e r . I t m a k e s y o u s o m e on e w ho i s c on c e r n e d a b ou t t h e s a f e t y o f o t h e r s. Wha t i f a s u b c on t r a c to r c o mm i t s a v i o l a t i on o f ou r s t anda r d s? M a n a g e r s m u s t a ss i s t a ll s u b c o n t r a c t o r s a n d o t h e r b u s i n e ss p a r t n e r s i n t h e i r un d e r s t a n d i ng o f a n d c o m p li a n c e w i t h a ll a pp li c a b l e l a w s a n d r e gu l a t i on s , a s w e ll a s w i t h a dd i t i on a l r e q u i r e m e n t s ou r C o m p a n y m a y h a v e. Fo r tuna managers are e xp e c t ed t o: • L ead b y e xample. Model high standards o f ethical business c onduct and help maintain a w or k environment that values mutual resp e ct and open c ommunication. • Be a resour c e f or others . C ommunica t e o f t en with C ompan y P ersonnel and business pa r tners about h o w the C ode and other policies appl y t o their dail y w ork. • Be proacti v e . L oo k f or oppo r tunities t o discuss and address ethical dilemmas and challenging situations with others. • Del e ga t e responsibl y . N e v er del e ga t e authorit y t o an y one who y ou beli e v e ma y engage in unlawful c onduct or unethical activities. • R espond quickl y and ef fe cti v el y . When a c on c ern is brought t o y our at t ention , treat it seriousl y and with resp e ct f or e v er y one in v ol v ed. • Be aware o f the limits o f y our authori t y . Do not ta k e an y action that e x c e eds y our authorit y . If y ou are e v er unsure o f what is appropria t e (and what is not) , discuss the mat t er with y our superio r. F O R T U N A M I N I N G / C O D E O F C O N D U C T A N D B U S I N E S S E T H I C S Find Help Helpline Home 7 N e xt
Use o f C ompan y Assets C ompan y assets include e v erything from physical assets (such as facilities , ma t erials , and e quipment) , el e ctroni c assets (such as c ompu t ers , t elephones , c ommunication sys t ems , s o f tware , and hardware) , in t ell e ctual prope r t y (such as business plans , trade s e crets , and dis c o v eries) , and files and r e c ords as w ell as paid C ompan y time . Each o f us is personall y responsible f or using these assets with care and pro te cting them from fraud , was t e , and abuse . The use o f C ompan y assets f or unlawful or improper purposes is prohibi t ed . Be aware that an y in f ormation y ou crea t e , share , or d o wnload on t o C ompan y sys t ems belongs t o the C ompan y , and w e ha v e the righ t , t o the e x t ent permit t ed b y applicable la w , t o r e vi e w and moni t or sys t em use at an y time without notifying y ou. D O T H E R I GH T TH I N G • Use C ompan y assets t o carr y out y our job responsibilities and n e v er f or activities that are improper or ill e gal. • Obser v e good physical s e curit y practi c es , esp e ciall y those rela t ed t o badging in and out o f our facilities. • Use paid C ompan y time f or w or k rela t ed t o the C ompan y. • Be a good s te ward o f our el e ctroni c resour c es and sys t ems and practi c e good c ybers e curit y . Do not share pass w ords or all o w other p e ople (including friends and family) t o use Fo r tuna assets , and o nl y us e s o f tware that has b e en properl y li c ensed . If y ou ha v e an y questions about whethe r a pa r ticular use o f s o f tware is li c ensed , c ontact y our I T Depa r tmen t. W A T C H O U T F O R • R e quests t o borr o w or use C ompan y e quipment without appr o val. • E x c essi v e use o f C ompan y resour c es f or personal purposes. • Unkn o wn individuals without proper credentials en t ering our facilities. C onfidential In f ormation The C ompan y relies on y ou t o be vigilant and t o pro te ct c onfidential in f ormation b y k e eping it s e cure , limiting a cc ess t o those who ha v e a n e ed t o kn o w in order t o do their jo b , and onl y using it f or authori z ed purposes . C onfidential in f ormation is sensiti v e in f ormation obtained or d e v eloped in the c ourse o f the C ompany ’ s business that has not b e en made publi c b y the C ompan y through designa t ed spo k espersons or publicl y disclosed documents , such as in f ormation c on c erning significant dis c o v eries , sales or earnings figures , in f ormation c on c erning proposed a c quisitions or dispositions , and non - publi c in f ormation c on c erning entities with which the C ompan y does business. Do y our pa r t t o sa fe guard c onfidential in f ormation . Be aware that this obligation c ontinues e v en a f t er y our empl o yment at Fo r tuna ends. D O T H E R I GH T TH I N G • P roperl y label c onfidential in f ormation t o indica t e h o w it should be handled , distribu t ed , and destr o y ed. • O n l y share c on f id e n t i a l i n f orm a ti o n , i n cl u din g c o n f id en ti a l i n f o r ma ti o n o f our sta k eh o ld e r s a n d b us i n e ss p a r tn e rs , w it h authori z ed p a r ti e s (a s de t e rm i ne d i n c onsu l tati o n with th e L e g a l D e pa r t men t ). • O n l y s t o re or c o m m unic a t e c o n f identia l in f o rma t i o n u sin g ou r C o m pany ’ s i n f o rmatio n s ys t e ms . • I m m e d ia t el y re p o r t a n y u n authori z ed d i scl o sure o r t h e f t o f c o n f ide n ti a l i n f o r m a t ion t o y o ur man a ge r. W A T C H O U T F OR • Discussions o f c onfidential in f ormation about the C ompan y or our sta k eholders and business pa r tners in pla c es where others might be able t o o v erhear — such as on planes and el e va t ors , in restaurants , and when using y our phone — or through uns e cure net w orks . • Sending c onfidential in f ormation t o unat t ended d e vi c es or prin t ers. P r o t e ct Ou r C omp a ny Y ou must promptl y disclose t o the C ompan y any: • In v entions or dis c o v eries that y ou crea t e in the c ourse o f y our empl o yment with the C ompany; or • Mineral dis c o v eries , oppo r tunities t o a c quire mineral assets , or other business oppo r tunities that are similar t o the C ompany ’ s business activities that c ome t o y our at t ention during y our empl o yment with the C ompan y. These are C ompan y assets and belong t o the C ompan y. S t ealing , delibera t el y damaging , misusing , or wasting C ompan y assets is a serious violation o f our C ode . D I G DEEP ER Disclosure P oli cy F O R T U N A M I N I N G / C O D E O F C O N D U C T A N D B U S I N E S S E T H I C S Find Help Helpline Home 8 N e xt
C onflicts o f In t erest A c onflict o f in t erest e xists when e v er an individual ’ s personal in t erests in t er f ere or c onflict with the in t erests o f the C ompan y , or when e v er an individual ’ s position or responsibilities with the C ompan y present an oppo r tunit y f or personal gain , including gain b y a famil y member or other person in a personal or pr o f essional relationship with the individual . C onflicts o f in t erest ma y be dir e ct or indir e c t , actual or po t ential , or e v en just a mat t er o f per c eption . A c onflict o f in t erest e xists e v en if the person with the c onflict beli e v es it is possible t o ma k e a d e cision or per f orm a tas k without being influen c ed b y personal in t erests. Y ou should a v oid all situations where there is a real or per c ei v ed c onflict o f in t eres t . Y ou must also promptl y disclose a po t ential c onflict o f in t erest t o y our manager or y our Deput y C omplian c e Offi c e r , who will then repo r t it t o the Chief C omplian c e Offi c e r , so it can be properl y e valua t ed , moni t ored , and managed . Dir e c t ors and o ffi c ers should promptl y disclose an y c onflicts o f in t erest ( or possible c onflicts o f in t erest) t o the Chief C omplian c e Offi c e r . While an actual or po t ential c onflict o f in t erest is not n e c essaril y a violation o f this C ode , failing t o disclose it in a timel y manner is a violation . A c cura t e R e c ord k e eping and R esponsible C ommunications T h e a c cura c y and c om p le t ene s s o f o ur b u si ne s s r e c or ds a n d f i n an c ia l di s c l osure s are e s s e nt i a l i n en a bli n g us t o ma k e i n f o rme d d e ci s ion s a nd m e e t disc l o s ur e r e q u i r e ments re l ating t o f i n anc i al i n f orma t ion . Ou r boo k s a nd r e c o rd s m ust a c cura t e l y and f a i r l y re f l e ct our tran s action s i n s u f f i cie n t de t ail a n d i n a cc orda n c e wit h ou r a cc ou nting p rac t i c e s and p o li c ies. W e are also r e quired t o pr o vide timel y and ongoing full , true , and plain disclosure o f ma t erial business e v ents and our financial situation in our periodi c and annual filings with r e gula t or y authorities. D O T H E R I GH T TH I N G • C rea t e business r e c ords that a c cura t el y re f l e ct the truth o f the underlying e v ent o r transaction . Be transparent and truthful an d a v oid unn e c essar y l e gal or f inancial language. • N e v er use or authori z e a cc ounting practi c es (such as falsified books , s e cret a cc ounts or slush funds) that c ould dis t o r t our financial repo r ting , operating results , or per f orman c e measures. • I mm e di a t e l y n o t i f y t h e C h i ef C ompli a n c e O f f i c e r i f y ou b e c o m e a w a r e o f a ma t er i a l unr e po r t ed tra n sac ti o n or e v en t . W A T C H O U T F O R • R e c ords that are not clear and c omple t e or that obscure the true nature o f an y action . • Undisclosed or unr e c orded funds , assets , or liabilities. • False or misleading entries in our books and r e c ords. • Improper destruction o f documents . Documents should n e v er be destr o y ed in response t o — or in anticipation o f — an in v estigation or audi t. What I f ? A t t h e e n d o f t h e la st q u a r t e r r e p o r t i n g p eri o d , m y m an ag e r a s k e d m e t o r e c o r d a d d it io n al e x p e ns e s , e v en th o u g h I had n ’ t r e c ei v ed t h e i n v oi c e s f r om t h e s upp l i e r a n d t h e w o rk h a d n ’ t s t a r t e d . I a g r ee d t o do i t , si n c e w e w e r e a l l su r e t ha t t h e w or k w o u l d b e c o mp l e t e d i n the n e x t q u a r t e r . N o w I w ond er i f I d id t h e ri g h t t h i n g. N o , y ou did n ’ t . C osts must b e r e c o r ded in the p eri o d in which th e y a r e incur r e d . T he w o r k had not sta r t e d , and the c osts w e r e not incur r ed b y the d a t e y ou r e c o r ded the t r ansa c tion. I t w a s , the r e f o r e , a mis r ep r ese n t a tion an d , de p ending on the ci r cumstan c e s , c ould amou n t t o f r au d . C ooperation with In v estigations and Audits Y ou ma y be c ontac t ed b y som e one from within Fo r tuna or outside o f Fo r tuna who is c onducting an audit or in v estigation . Be f ore responding t o an audit or in v estigation r e ques t , y ou must notif y y our manager and the L e gal Depa r tment t o discuss the circumstan c es . If y ou are dir e c t ed t o respond t o an audit or in v estigation r e ques t , ensure that the in f ormation y ou pr o vide is a c cura t e and c omple t e , and n e v er pr o vide in c omple t e , false or misleading sta t ements. P o t ential C onflicts o f In t erest Be ale r t t o situations , including the f oll o wing , that are c ommon e xamples o f po t ential c onflicts o f in t erest and must be promptl y disclosed in a cc ordan c e with this C ode: • Y o u s u p er v i s e a fa m i l y membe r , romanti c pa r tn e r , or c lo se fr i end . A f a m i l y m e mbe r i ncl u d es a spou s e , c h i l d , si bling , r e l a ti v e b y blo o d or m ar r iag e , o r another p e r s o n s h a r ing y o ur ho m e w he the r or n ot th e y ar e y ou r l e gal rela t i v e . • Y o u r f am i l y me m ber r e c e i v es a g i f t fro m a n or g a n i z atio n do i ng o r s e eki n g t o d o b u s i ne s s with t h e C ompa n y. • Y ou h i re a c o n t r ac t o r o r s u ppli e r f or th e C omp an y t h a t a fa m i l y me m be r , r o m a nti c p a r t n e r , o r cl o s e fr i end w o r k s f o r. • Y ou a cc e p t out si d e em pl o yme n t with a c ompet i t or o f t h e C o m pa n y o r y o u act a s a c onsu l t an t , o r o w n p a r t o f a bu s i n e s s , th a t doe s b usi ne s s wi th t h e C o m p a n y. • Y ou us e t h e C o m pany ’ s as s ets f or y o u r o w n p erso nal gai n , s u c h a s t a k i n g a bus i n e s s o p p o r tun i t y f o r y o urs el f th at y o u le a rne d o f t h ro u gh y ou r j o b. Y ou are responsible f or disclosing c onflicts o f in t erest as soon as th e y are de te c t ed . Please also re f er t o Gi f ts and En t e r tainment . What If? I am i n a r e la t io n s h ip w ith s o m e o n e w h o r e p o r ts t o m e . I s th i s a c o n f l i c t of i n t e r e s t? Y es — t hi s is a c on f l i c t o f i n t e r es t . Y o u m u s t d i sc lo se t h e r e l a t i o n s h i p t o y o u r m a n a g e r or y ou r D ep u t y C om p l i an c e O ff i c e r , w h o m a y r e c o m mend a dj us tin g t h e r e p o r t i n g r el a tio nsh ip t o a v o i d al l e g a t i on s o f f a v ori t i s m. D I G DEEP ER Disclosure P oli cy F O R T U N A M I N I N G / C O D E O F C O N D U C T A N D B U S I N E S S E T H I C S Find Help Helpline Home 9 N e xt
Gi f ts and En t e r tainment Of f ering and r e c eiving gi f ts and en t e r tainmen t can be pa r t o f the normal c ourse o f business . A modest gi f t ma y be a thoughtful “than k y ou , ” or a meal ma y o f f er an oppo r tunit y t o discuss business . If not handled carefull y , h ow e v e r , the e x change o f gi f ts and en t e r tainment c ould be imprope r , c oul d be per c ei v ed as a bribe , or c ould crea t e a c on f lict o f in t eres t . This is esp e ciall y true if an o f f er is e x t ende d fr e quentl y , or if the value is large enough tha t som e one ma y thin k it is being o f f ered in an at t emp t t o in f luen c e a d e cision . Gi f ts and en t e r tainment must be l e gal under the local la w , c onsis t ent with business cus t oms , not e x c essi v e , infr e quen t , and appropria t e f or the o c casion . Y ou ma y not o f f er or a cc ept a gi f t more than t w o times in a calendar y ear t o or from a single e x t ernal person or entit y . In order t o r e c ei v e or gi v e gi f ts ab o v e US$100 ( or the local curren c y e quivalent) y ou must first s e e k appr o val from y our manager and notif y y our Deput y C omplian c e Offi c e r , and , upon appr o val being obtaine d , y ou must r e gis t er the gi f t in the gi f t r e gistry . G o v ernment Officials T h e re are s t ric t e r r u le s f o r wh a t w e m a y gi v e t o — o r a cc ept f r om — g o v e rnme n t o f f ici a l s (all g i f t s mu s t be r e g i s t e r ed , a nd th e l i m i t tr ig g e ri n g th e appr o va l r e q u i r e m e nt i s US $50 f or g o v er n me n t o f f icia l s v e rsu s th e US $10 0 t h resh o ld f or oth e rs) . Ple a s e c o n s ul t o u r Ant i - C orrup t ion P ol i c y f or d et a ile d r e qu ireme n ts that m u s t b e met whe n pr o v i d i ng g o v er n me n t o f f i c ial s with gi f ts a n d e n t e r tai n men t . Do n ’t o f f e r anythi n g o f va l u e t o a g o v ern m ent o f f i c ia l w i thout o bta i ni n g a pp r o v a l , i n advan c e , fr o m y our Deput y C o m p lian c e O f f i c e r and / o r Chief C o mplia n c e O f f i c e r , as appli c abl e , und e r o ur A nti - C o r r u p t i on P oli c y . W e d o not a cc e pt or pr o vid e g i f ts , f a v ors , o r e n t e r tai n m e nt t o a n y o ne — e v en if i t c o m pl i e s wi t h our pol i cies — if th e i n t e n t i s t o im p r o p er l y i n f l uen c e a d e ci s i o n . D O T H E R I GH T TH I N G • O n l y p r o v i de a n d a cc e pt g i f ts a n d e n t e r ta in m ent th a t ar e re a s on a ble a n d are s mall t o k en s f o r t h e m a in t e n a n c e o f a p r o f e ssiona l w o rk i n g re l a t ionsh i p. • N e v er o f f er or r e c ei v e gi f ts and/or en t e r tainment if a d e cision relating t o or from the gi v er or r e cipient is pending , or will be pending , in the near future. • N e v er gi v e or a cc e pt ca sh. • D o n o t r e q u e s t o r s o li c i t pers o n a l gi f ts , f a v or s , e n t e r ta in m en t , o r s e rvi c e s. • S pea k u p w h e n e v e r y ou su s p e ct th a t a c o l l e ag u e o r b u s i n e ss pa r tner ma y b e im pro per l y at t e mpt i n g t o in f luen c e a d e ci s i o n o f a s t a k e h ol d e r or g o v er n ment o f f ici a l . W A T C H O U T F O R • Situations that c ould embarrass y ou or our C ompan y ( e.g . , en t e r tainment at s e xuall y orien t ed establishments , gambling , drugs , amongst other inappropria t e gi f ts and en t e r tainment) . What I f ? W he n t r a v e l i n g , I r e c ei v ed a g i f t f r o m a b u s i n e ss pa r t n e r tha t I b e l i e v e w a s e x c es s i v e . W h a t s h ou l d I d o? Re p o r t it t o the gi f t r egist r y and let y our manager and the C hief C omplian c e O ffi c er k n o w as s o on as p ossibl e . W e m a y need t o r eturn the gi f t with a let t er e xplaining our p oli c y . 10 D I G DEEP ER Anti - C orruption P oli cy F O R T U N A M I N I N G / C O D E O F C O N D U C T A N D B U S I N E S S E T H I C S Find Help Helpline Home N e xt
A nt i - b ri b e r y and A nt i - c o rr up ti on W e ha v e a z ero - t o lera n c e po l i c y f o r bri b er y a nd c or r u pt i on . W e b eli e v e that a l l f o r m s o f b r i be r y an d o t her c or r upt p r a c ti c es ar e a n i n ap pr op r ia t e w a y t o c ond u c t bus i ness , r e gardles s o f l o ca t ion or l ocal cus t oms . Y o u a r e e xp e c t e d t o b e f ull y familia r , an d t o c o m p l y w i th , o u r Anti - C o r ruption P oli c y . Do n o t p a y , o f f e r , promise , or a cc ept bri b e s o r k i c kbac k s at an y tim e f or an y r eason . T hi s ap p l i es e q u a ll y t o a n y person o r c omp a n y re p r e s enti n g Fo r tu n a . O u r business p a r tne r s m us t un d e r s t and t h a t t h e y a r e r e q u ired t o op e ra t e in s tri c t c o mpl i an c e wit h o ur sta n dard s a nd t o m a in t ain a c c u r a t e r e c o r ds o f a l l t r a ns a c t io n s . N e v er as k our business pa r tner s t o do s o mething t hat w e are pr o hibi t ed f r o m do i n g o u rs e l v es. B r i b er y a n d c orruption o f g o v ern m e n t o f f i c ial s i s i l l e g al i n all jurisdic t i o ns whe r e w e oper a t e a nd c o u l d s ig ni f icantl y d a m age o ur re p u t a t io n a nd result in penalties and f ines , massi v e i n v est ig ation c o s t s , an d th e p ros e c u ti o n an d im p risonm e nt o f C omp a n y P e r sonnel . Bribe r y a nd c or r u pt i on will n e v er be in o u r C o mpa ny ’ s b e st in t e re s t. C o r r u p tion a m ong em p l o ye es and busines s p a r t n e r s ( c ommercial c o rruption) is a serio u s v i olat i on o f the la w a n d th is C ode . C o m mercia l c o r ru p tion in v ol v es sit ua ti o ns w he r e C o m pa n y P e rso n n e l e ngage in un d is c losed ar r angement s w i th a b u siness p a r tner t o pr o v ide a n u n wa rr an t e d adva n tag e in e x c hange f o r a pe rs o n al bene f it ( e . g . , kickback , fa v o rs , l a v is h gi f t s , amo n g st o t hers) . K e y Definitions Bribery is the o f f e r , promise , or pr o vision , dir e ctl y or indir e ctl y , o f anything o f value ( e.g . , cash , fa v ors , empl o ymen t , c ontracts , amongst others) t o a person in a position o f p ow er t o influen c e that person ’ s d e cisions t o obtain or retain an improper advantage . C orruption is the misuse o f p ow er b y g o v ernment o fficials or other pa r ties f or ill e gitima t e priva t e gain. D O T H E R I GH T TH I N G • Understand the standards set f o r th in ou r Anti - C orruption P oli c y that appl y t o y our rol e at our C ompan y . • N e v er gi v e anything o f value t o an y g o v ernment o fficial without first obtaining appr o val from y our Deput y C omplian c e Offi c er and/or Chief C omplian c e Offi c er t o ensure that all applicable laws and r e gulations are f oll ow ed . If y ou are not sure o f the r e quirements o f the applicable laws , the sa f est c ourse o f action is t o not gi v e anything o f value. • E x ercise due diligen c e and carefull y moni t o r third pa r ties acting on our behal f , pa r ticularl y when dealing in c ountries with high c orruptio n ra t es and in situations where “ red f lags ” indica t e fu r ther scr e ening is n e eded. • A c cura t el y and c omple t el y r e c ord all payment s t o third pa r ties. W A T C H O U T F O R • Apparent violations o f anti - briber y laws b y our business pa r tners. • A gents who do not wish t o ha v e all t erms o f their engagement with our C ompan y clearl y documen t ed in writing. What If? I w o rk w it h a fo r ei gn age nt i n c on n e c ti o n wi t h ou r o p e r at io ns i n a n o t h er c o u n t r y . I su s p e c t t hat s o m e o f t he mon e y w e p a y t h is a g e nt g o e s t o w a r d m a k i n g paym en t s or br i b e s t o g o v e rnm e n t o ff i c i a l s . W h a t sh ou l d I d o ? T his should b e r e p o r t ed t o the C hief C omplian c e O ffi c er and the L egal Depa r tme n t f or i n v estig a tion. I f the r e is bri b e r y and w e fail t o a c t , b oth y ou and the C ompa n y c ould b e liabl e . I n v estig a ting these k inds of situ a tions c an b e cultu r ally difficult in some c ou n trie s , but a n y one doing business with us should understand the ne c essi t y of these measu r e s . Foll o w t he L a w Anti - C DI G D E E P ER orruption P oli cy F O R T U N A M I N I N G / C O D E O F C O N D U C T A N D B U S I N E S S E T H I C S Find Help Helpline Home 11 N e xt
Fair C ompetition W e beli e v e in fr e e and open c ompetition and do not engage in practi c es that ma y limit c ompetition or tr y t o gain c ompetiti v e advantages through unethical or ill e gal business practi c es . Do not engage in c on v ersations with c ompeti t ors about c ompetiti v el y sensiti v e in f ormation or engage in an y anti - c ompetiti v e behavio r , including setting pri c es or dividing up sta k eholders , suppliers , or mar k ets . Antitrust laws are c ompl e x , and c omplian c e r e quirements can var y depending on the circumstan c es , so s e e k help from the L e gal Depa r tment with an y questions about what is and isn’t appropria t e . Be Ale r t t o Anti - c ompetition W arning Signs In general , the f oll o wing activities are red flags , should be a v oided , and , if de te c t ed , repo r t ed t o the L e gal Depa r tment: • Sharing our C ompany ’ s c ompetiti v el y s en si t i v e i n f ormatio n w i t h a c omp e ti t o r. • Sharing c ompetiti v el y sensiti v e in f ormation o f business pa r tners or other third pa r ties with their resp e cti v e c ompeti t ors . • A t t empting t o obtain nonpubli c in f ormation about c ompeti t ors from n e w hires or candida t es f or empl o ymen t . In f ormation about c ompeti t ors is a valuabl e asset in t oday ’ s c ompetiti v e busines s environmen t . Obtain c ompetiti v e in f ormatio n onl y through l e gal and ethical means , n e v e r through fraud , misrepresentation , d e c eption , o r the use o f te chnolog y t o “ s p y ” on others . Sharin g c ompetiti v el y sensiti v e in f ormation with other s (whether that in f ormation belongs t o us or ou r business pa r tners) is always prohibi t ed . D O T H E R IGH T T H IN G • Be careful when a cc epting in f ormation fro m third pa r ties . Y ou should kn o w and trust thei r sour c es and be sure that the in f ormatio n th e y pr o vide is not pro te c t ed b y trade s e cre t laws or nondisclosure or c on f identialit y agr e ements. • R esp e ct the obligations o f others t o k e ep c ompetiti v e in f ormation c onfidential. • While our C ompan y ma y hire f ormer empl o ye es o f c ompeti t ors , r e c ogni z e and resp e ct the obligations o f those empl o ye es not t o use or disclose c onfidential in f ormation o f their f ormer empl o y ers . W A T C H OU T F O R • R etaining papers or c ompu t er r e c ords fro m prior empl o y ers in violation o f applicable law s or c ontracts. • Using third - pa r t y c onfidential in f ormation without appropria t e appr o vals. What I f ? I r e c e i v e d s e ns i t i v e pr i c i ng i n form a t i o n f r o m on e of o ur su p pli e r s . W h at s h o u ld I do? Y ou should c o n ta c t y our manager and the C hief C omplian c e O ffi c er without del a y and b e f o r e a n y fu r ther a c tion is ta k en. I t is im p o r ta n t th a t w e demonst r a t e r es p e c t f or fair c om p etition f r om the mome n t w e r e c ei v e such in f orm a tion, and w e ma k e it clear th a t w e e x p e c t others t o do the sam e . T his r equi r es app r opri a t e a c tion th a t c an only b e decided on a c as e - t o - c ase basis and m a y include sending a let t er t o the c om p eti t o r . Data P riva cy W e resp e ct the persona l in f ormation o f others . W e f oll o w ou r policies and all applicable laws an d r e gulations in c oll e cting , a cc essing , using , s t oring , sharing , an d disposing o f sensiti v e in f ormation . P ersonal in f ormation include s anything that c ould be used t o identif y som e one , either dir e ctl y or indir e ctl y , such as a name , email address , phone numbe r , amongst others . Onl y use persona l in f ormation — and share it wit h others outside o f the C ompany — f or l e gitima t e business purposes. W A T C H O U T F O R • Failing t o shred or s e curel y dispose o f sensiti v e in f ormation. • Using “fr e e ” or individuall y purchased in t ernet hosting , c ollaboration , or cloud servi c e s that c ould put persona l in f ormation at risk . Insider T rading While doing y our jo b , y ou ma y learn ma t erial in f ormation about Fo r tuna ( or other publicl y traded c ompanies) that is not available t o the public . Y ou are not all ow ed t o disclose ma t erial in f ormation about Fo r tuna t o others be f ore it is generall y disclosed (“ tipping ”) or bu y or sell our s e curities if y ou ha v e a cc ess t o ma t erial in f ormation that has not b e en publicl y disclosed. Ma t erial In f ormation Ma t erial in f ormation is the kind o f in f ormation a reasonable in v es t or w ould ta k e in t o c onsideration when d e ciding whether t o bu y or sell a s e curit y . Examples o f ma t erial in f ormation include: • A proposed a c quisition or sale o f a business • A significant e xpansion or cutbac k o f operations • Impo r tant in f ormation about mineral reser v es and mineral resour c es • E xt r a ord i na r y mana ge ment or bu s iness d e v el o pm en ts • Changes in stra te gi c dir e ction , such as en t ering a n e w jurisdiction D O T H E R I GH T TH I NG • Do not b u y or s el l s e cu r i t ies o f an y publi c c o mpan y w h en y o u ha v e m a t eria l no np ub l i c i n f orm a t i on ab o ut th a t c o m p an y. • P ro te ct ma t erial nonpubli c in f ormation from the genera l public , including in f ormation in both el e ctroni c f orm an d in paper c o p y . • Discuss an y questions or c on c erns about insider tradin g with the L e gal Depa r tmen t . W A T C H O U T F OR • R e quests from friends or famil y f or in f ormation abou t c ompanies w e do business with or ha v e c on f identia l in f ormation abou t . E v en casual c on v ersations c ould b e vi ew ed as ill e gal “tipping ” o f ma t erial nonpubli c in f ormation . • Sharing ma t erial nonpubli c in f ormation about the C ompan y ( or c ompanies w e do business with) with an y one , eithe r in t entionall y or inad v e r t entl y , unless it is essential f o r C ompany - rela t ed business (as de t ermined f oll o win g c onsultation with the L e gal Depa r tment) . D I G DEEP ER Blac k outs and S e curities T rading P oli cy F O R T U N A M I N I N G / C O D E O F C O N D U C T A N D B U S I N E S S E T H I C S Find Help Helpline Home 12 N e xt
Environmental P ro te ction and Sustainabili ty W e are c ommit t ed t o sustainabilit y and t o minimizing damage t o the environment as w el l as an y po t ential harm t o the health and sa f et y o f C ompan y P ersonnel , sta k eholders , and the public . R ead and understand all the environmental , health , and sa f et y policies and standard s pr o vided b y our C ompan y that are rel e van t t o y our jo b , and ma k e sure y ou opera t e in ful l c omplian c e with all such policies . D O T H E R IGH T T H IN G • Ful l y c o opera t e w i th env i r o nment a l , he a lth a n d sa f e t y tra i ni n g a n d w i t h o u r C o m pa n y ’ s p er i od i c c o m pl i an c e r e vi e w s o f o u r o p erations. • S t o p w or k and rep o r t a n y situ a tio n th a t y ou b e l i e v e c oul d r e s u l t in u nsa f e w ork i n g c o n d it i o n s or un c o n t r o l l e d damage t o th e e nvi ro n m en t . • P r o v ide c ompl e t e and a c cura t e i n f orm a ti o n i n r e s p onse t o e nvir on me n tal , health , a n d s a f e t y law s , r e g u la t io n s , and permits. • C o ntac t th e Sen io r V i c e P re si den t , S ust a i n a b i l i t y i f y ou ha v e an y que s t i on s ab o u t c om p l i a n c e with env i ronmental , he a lth , a n d sa f e t y la ws a nd polic i es . Human Rights W e c onduct our business in a manner that resp e cts the human rights and dignit y o f all , and w e suppo r t in t ernational ef f o r ts t o promo t e and pro te ct human rights , including an absolu t e opposition t o modern sla v er y , f or c ed labo r , child labo r , and human trafficking. D O T H E R I GH T TH I N G • R epo r t an y suspicion or e viden c e o f human rights abuses in our operations or in the operations o f our suppliers. • R emember that resp e ct f or human dignit y b e gins with our dail y in t eractions with one anothe r , our business pa r tners , and our sta k eholders . It includes doing our pa r t t o pro te ct the rights and dignit y o f e v er y one with whom w e do business . What I f ? When I was visiting a n e w supplie r , I noti c e d empl o ye es w orking there who s e eme d underage . When I as k ed about i t , I didn’t ge t a clear ans w e r . What are m y n e xt s t eps? Y ou did the rig h t thing — first t o b e on the l o o k out f or human rig h ts abuses and se c ond t o r aise the issue with our supplie r . T he n e x t s t ep is t o r e p o r t the incide n t t o y our manager and the L egal Depa r tme n t . W e a r e c ommit t ed t o the p r o t e c tion of human rig h ts and t o the elimin a tion of human rig h ts abuses including child la b o r. Be a Go od S t e w ard D I G DEEP E R Human Rights P oli cy D I G DEEP E R Environmental P oli cy Health and Sa f e t y P oli cy F O R T U N A M I N I N G / C O D E O F C O N D U C T A N D B U S I N E S S E T H I C S Find Help Helpline Home 13 N e xt
P olitical A ctivities E v er y one has the right t o v oluntaril y pa r ticipa t e in the political pro c ess , including making personal political c ontributions . H ow e v e r , as C ompan y P ersonnel , w e must always ma k e it clear that our personal vi e ws and actions are not those o f the C ompan y. D O T H E R I GH T TH I N G • Ensure that y our personal political vi e ws and activities are not vi ew ed as those o f the C ompan y . • Do not use our resour c es or facilities t o suppo r t y our personal political activities . Making political c ontributions with C ompan y resour c es is strictl y prohibi t ed. W A T C H O U T F O R • I n t e r a c ti o ns w ith g o v e r nment o f f i c i a ls o r r e gu l a t ors th at c oul d b e s e en as lo b b yi n g m ust b e dis c us s ed in advan c e a nd c o o rdin a t e d w i t h th e L e gal D e pa r t men t. • N e v er ap p l y d i r e ct or in d i r e ct pre s sure on o th e r C om pa n y P er s o nn el t o c o n tribu t e t o , s u pp o r t , o r o p p o s e an y po l i t i c al cand id a t e o r p a r t y. • A v oid e v en the appearan c e o f making politica l or charitable c ontributions in order t o gain fa v o r or in an at t empt t o e x e r t improper in f luen c e. • H o lding o r campai gn i n g f or p o litic a l o f f i c e m ust no t c rea t e , or a pp ea r t o c re a t e , a c o n f lic t o f i n t erest wi th y our du t i es at the C omp an y . What I f ? I w il l b e at t e n di n g a f u n d r ais er for a c and i da t e r u n n i n g f o r l o c a l o ff i c e . I s it O K t o ment i o n m y p o s i t i o n at F o r t u na a s l o n g a s I d o n ’ t use a n y C o m pa n y fu nd s or r e sou r c e s? N o . I t w ould b e imp r o p er t o ass o ci a t e our name in a n y w a y with y our p ersonal p oliti c al a c tivitie s . D I G DEEP ER Anti - C orruption P oli cy F O R T U N A M I N I N G / C O D E O F C O N D U C T A N D B U S I N E S S E T H I C S Find Help Helpline Home 26 14 N e xt
M a k e Y ou r C o m mitm en t ANNUA L C OMPLIANCE CE R TIFI C A TE FO R TUN A MINING C OR P . AN D ITS SUBSIDIARIES (“Fo r tun a ”) A t Fo r t u n a , w e bel i e v e i n f oll o w i n g a ll a ppl i c a b l e l a ws a nd r e g u lations . A ll C o mpa n y P e r s onne l m ust c o mple t e and s u bmit t h i s C e r ti f ic a t e ann u all y a n d pa r t i c ipa t e i n a l l r e qu i r e d et h i c s and c o mpl ia n c e tra i ning . S u b m it t in g t h i s C e r t i f ic a t e i ndic a t es that I h a v e r e a d a n d unders t oo d F o r tu n a ’ s C o d e o f C on duct and Bu s in e ss E th i cs ( “ C ode ”) , and I c o n f irm th a t: • E x c ept as ma y be no t ed in a Sta t ement o f E x c eptions attached t o this C e r tifica t e , I am not in violation o f an y pr o visions o f the C ode; • I w ill c omp l y wit h t h e p r o c edures and r estr i ctio n s s et f o r th th e r e in; and • I ha v e repo r t ed all violations or po t ential violations o f the C ode o f which I was aware during the r e c entl y c omple t ed calendar y ea r . I fu r ther understand that if I viola t e the C ode , I ma y fa c e disciplinar y action as set out herein , including t ermination o f m y relationship with Fo r tuna or an y o f its subsidiaries. Signature: Name: Title/ P osition: Da t e: Please ch e c k one o f the f oll o wing: A Sta t ement o f E x c eptions is attached. No Sta t ement o f E x c eptions is attached. ONB O ARDING C OMPLIANCE CE R TIFI C A TE FO R TUN A MINING C OR P . AN D ITS SUBSIDIARIES (“Fo r tun a ”) I . C ODE OF C O ND U C T A N D B US I NE S S ETHI CS I c e r t i f y t h a t I ha v e rea d a n d u n ders t o o d Fo r t u n a ’ s C od e o f C o n du c t a n d Bu si n e ss Eth i cs (t h e “ C ode ” ) a n d t h e o t her a p pl ic a b l e po l ic i es o f F o r tun a r e f err ed t o i n th e C o de . I a g r e e t o c ompl y wit h th e C od e an d a l l oth e r app l i c able p o lici e s re f erre d t o in t he C o de . II . A NT I - C O R RU P TION P O L I CY I c e r t i f y t h a t I ha v e rea d a n d u n ders t o o d Fo r t u n a ’ s A nt i - C orrup t i o n P o l i c y ( th e “ A n ti - C orrupti o n P o l i c y ”) , i nc l u d in g al l r e q ui r eme n ts and pr o c e d ur e s c o n ta ine d i n t h e A n t i - C orruptio n P oli c y . I a gr e e t o c o m pl y wi th th e Ant i - C or r upt i on P o li c y . III . F AM I L Y M EMB E RS E x c ept as ma y be no t ed in a Sta t ement o f E x c eptions attached t o this C e r ti f ica t e , I c on f irm tha t no “famil y member ” o f mine is a dir e c t o r , o f f i c e r , o r manager o f Fo r tuna or an y o f its subsidiaries . T he t erm “f a mil y me m ber ” me a ns a n y child , s t ep c h i l d , g r a n d c h i ld , p are n t , s t e p par e n t , g ra n dpare n t , s pou se , s i b li n g , m other - i n - l a w , fat h er - in - l a w , s o n - i n - l a w , d au g h t er - in - l a w , br o ther - i n - l a w , s i s t er - i n - la w , pe r s o n s i n a d opti v e rel a ti on s h ip s w i t h y o u , o r d o me s ti c pa r tne r . Also i nclude d i s a n y f am i l y m emb e r w h o l i v es wit h y ou o r wh o is o th e r w i se f ina n cia l l y d e p e nd e nt o n y ou , o r o n wh o m y o u are f ina n cia l l y d e pende n t. I V . F U R T H E R C O N FIRM A T I ONS E x c ept as m a y be no t ed in a Sta t em e nt o f E x c ept ions at t a c h e d t o t hi s C e r ti f ic a t e , I c on f ir m th at I am n o t in v i o l ati o n o f t h e C o d e o r th e A nt i - C orrup t i o n P o l i c y. I un de r sta nd t hat i f I vio l a t e t h e C ode , t h e A nt i - C orrup t i o n P o l i c y o r ot her a pplic a bl e Fo r t u n a p ol i c ie s , I m a y fa c e d i sci pli n ar y acti o n a s s et ou t in Fo r tun a ’ s po l i ci es , in c l udi n g t ermi n ati o n o f m y r e la t i on sh i p w it h Fo r tu n a o r a n y o f i ts su b s i diar i e s. Signature: Name: Title/ P osition: Da t e: Please ch e c k one o f the f oll o wing: A Sta t ement o f E x c eptions is attached. No Sta t ement o f E x c eptions is attached. 15 F O R T U N A M I N I N G / C O D E O F C O N D U C T A N D B U S I N E S S E T H I C S Find Help Helpline Home 28 N e xt
F in d H e l p Anti - C orruption P oli cy Blac k outs and S e curities T rading P oli cy Disclosure P oli cy Environmental P oli cy Gi f t R e gistry Health and Sa f e t y P oli cy Human Rights P oli cy Supplier C ode o f Business C onduct and Ethics RESOU R C E : C ON T A C T: Human R esour c es Y our local HR depa r tment Chief C omplian c e Offi c er c orpora te c ounsel@fmcmail. c om Ethics Helpline f o r tuna.ethicspoin t . c om L e gal Depa r tment c orpora te c ounsel@fmcmail. c om Sustainabili t y Depa r tment sustainabili t y@fmcmail. c om W a i v e rs Under e x c eptional circumstan c es , one or more o f the principles and e xp e ctations set out in this C ode ma y be wai v ed as f oll o ws: • If f or members o f the Board o f Dir e c t ors or e x e cuti v e o ffi c ers , including senior financial o ffi c ers , b y resolution o f the Board o f Dir e c t ors . • If f or empl o ye es who are not members o f the Board o f Dir e c t ors or e x e cuti v e o ffi c ers , b y the Chair o f the C orpora t e G o v ernan c e and Nominating C ommit te e in relation t o non - financial mat t ers , or f or financial rela t ed mat t ers b y the Chair o f the Audit C ommit te e . An y wai v er gran t ed will be repo r t ed t o the Board o f Dir e c t ors b y the applicable Chai r. An y wai v ers gran t ed t o a member o f the Boar d o f Dir e c t ors or t o an e x e cuti v e o f f i c er that rela t e s t o an y element o f the “ C ode o f Ethics ” de f initio n set f o r th in S e ction 406(k) o f the Sarbanes - O xl e y A ct o f 2002 will be disclosed as r e quired b y la w or s t oc k e x change r e gulations applicable t o the C ompan y . Those who fail t o c oopera t e wit h in v estigations will be subj e ct t o discipline , whic h ma y include t ermination o f empl o ymen t. No wai v ers will be all ow ed o f an individual ’ s rights or remedies under an y laws relating t o the repo r ting o f an y susp e c t ed violation. E f f e c ti v e Da te Our C ode and the policies it re f eren c es ma y b e modi f ied from time t o time without prior noti c e . For the most current v ersion , please s e e ou r c orpora t e w ebsi t e: f o r tunamining. c om . This C ode was appr o v ed b y the Board o f Dir e c t ors on N o v ember 4 , 2025. F O R T U N A M I N I N G / C O D E O F C O N D U C T A N D B U S I N E S S E T H I C S Find Help Helpline Home 16