NATIXIS -2020 Universal Registration Document

6 2020 NON-FINANCIAL PERFORMANCE REPORT Strategic outlines and organization of the ESR policy

The gross risks matrix highlights the ten major risks presented below, which are managed with a set of risk management systems, with associated key performance indicators.

Main risks identified and risk management systems

See Chapter

Nature of ESR issue

Risks identified

Risk management system Key performance indicators

Application of the driving system 6.2

Conduct

Conduct risk

Code of Conduct V Driving system V Whistleblowing system V

Business Ethics and Security

Protection of customers and investors Risks of money laundering and terrorist financing Risks of corruption Cyber risks Social risks relating to our activities

Compliance management V systems for non-compliance risks (a)

Non-compliance risk control procedures Level 2 control results

3.2.1

ESG criteria in investment V and financing activities Application of the Green V Weighting Factor

Number of ESG risk reviews AUM in solidarity investments Percentage of financing with the greatest impact on the climate (rated brown) Amount of renewable energy financing arranged during the year Amount of green bonds arranged during the year

6.5.1

Societal and environmental

6.4.1.4

Climate risks relating to our activities

6.4.2.1

Other environmental risks (pollution, harm to biodiversity, etc.) relating to our activities

Financing for the energy transition V ESG criteria in investment V and financing activities

6.4.2.2

6.4.2.4

AUM dedicated to natural capital

6.4.3.3

Employability and the transformation of the business lines

Training policy V

Training hours per employee

6.7.1.3

Diversity among employees and executive officers

Diversity/inclusion policy V

Percentage of women among Company leaders

6.7.1.2

The Compliance Function’s preventative actions – advice, raising awareness and training – are a key driver to improving Natixis’ management (a) of compliance risk.

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NATIXIS UNIVERSAL REGISTRATION DOCUMENT 2020