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Reporting Unusual Activity Your Responsibility to Report When reporting a potential fraud, provide the following information to the Special Investigative Unit (SIU), who will determine the appropriate level of investigation: Type of Fraud and Related Activity Potential Victim and Their Contact Information Once investigated, the SIU makes a determination if there's reasonable cause to believe fraud occurred and will work with an appropriate AML Officer for required filings. Within 14 days, a fraud referral is made to an appropriate law enforcement and regulatory entities, who'll further investigate and possibly prosecute the fraud. Continued Event Response Plan Penn Mutual has an Event Response Plan (ERP) to serve as a protocol for a prompt, orderly response to an event. An event has two levels, defined as: Event: anything that has an impact to normal business operations Significant Event: anything that has a severe impact to business operations Events may include: certain types of fraud, prolonged disruption of business activity, ransomware/malware infection of multiple end-user devices, or other cybersecurity related occurrences. Based on the type of event, a diverse team of subject matter experts are prepared to take action. How you report an event depends on your role with Penn Mutual: Financial Professionals: Immediately notify your field leader or another Penn Mutual leader. Employees: Immediately notify your leader or email [email protected](opens in a new tab). If email systems appear to be disrupted, use a phone to notify your leader. People Managers: Immediately contact the head of your business line and the Chief Legal Officer (CLO) or the Chief Ethics and Compliance Officer (CECO). The CLO/CECO will notify the Chief Executive Officer (CEO) for determination of activation of the Event Response Plan (ERP)