FERC Standards of Conduct Training - CenterPoint Energy

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FERC Commercial Compliance Group The FERC Commercial Compliance Group was established to work closely with the Chief Compliance Officer (FERC) in assisting employees with compliance with FERC regulations, including the Standards of Conduct. The group consists of Leslie Kalmbach, Bill Wolf, Larry Thomas, Cindy Suarez, Michelle Willis, Karen Franklin, Kelly Griffin, and Lacy Power. The group meets regularly and reports to the Chief Compliance Officer (FERC) on Standards of Conduct matters, including Standards of Conduct training, postings on EGT's and/or MRT's Internet websites, and Compliance Plan requirements and procedures. Members of the FERC Commercial Compliance Group may be reached via their individual phone numbers or email addresses, or through the group's email address: PIPEFERCCompliance@centerpointenergy.com 46 For Internal Use Only
FERC Standards of Conduct Training Conclusion 47 For Internal Use Only
Page 1 and 2: FERC Standards of Conduct Training
Page 3 and 4: Culture of Compliance Enable Midstr
Page 5 and 6: FERC Standards of Conduct Training
Page 7 and 8: Employee Classifications The FERC S
Page 9 and 10: What is a Transmission Function Emp
Page 11 and 12: The following activities DO NOT con
Page 13 and 14: No Conduit Employees No Conduit Emp
Page 15 and 16: Examples of Non-Public Transmission
Page 17 and 18: FIVE GENERAL REQUIREMENTS OF THE ST
Page 19 and 20: • For example, an MFE cannot have
Page 21 and 22: Hypothetical 2: Charlotte recently
Page 23 and 24: What Information Cannot Be Shared w
Page 25 and 26: What is Non-Public Customer Informa
Page 27 and 28: Hypothetical 5: A Risk Control empl
Page 29 and 30: What are the Procedures When Meetin
Page 31 and 32: 3. NON-DISCRIMINATION REQUIREMENTS
Page 33 and 34: 4. TRANSPARENCY The transparency pr
Page 35 and 36: Contemporaneous Disclosure Further,
Page 37 and 38: Can Customers Voluntarily Consent t
Page 39 and 40: Posting of Certain Affiliate Inform
Page 41 and 42: Transferring Employees The transfer
Page 43 and 44: Posting and Logging of Tariff Waive
Page 45: Chief Compliance Officer (FERC) EGT
Page 49 and 50: Standards of Conduct Concerns Helpl
Page 51 and 52: How Do I Comply? It is each employe
Page 53 and 54: Congratulations! You have completed

FERC Standards of Conduct Training - CenterPoint Energy

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