Fair Money & Economic Opportunity

No specific, concrete data points were found in the provided articles to assess Great Elm Group, Inc. against the 'Fair Money & Economic Opportunity' ethical value. The articles primarily focus on the company's financial performance, investment activities, and corporate financial metrics. There is no evidence regarding consumer lending practices, financial inclusion initiatives, customer demographics, pricing fairness, wealth building outcomes for underserved populations, or financial literacy programs.

Several articles explicitly note the absence of such data.

Fair Pay & Worker Respect

No specific, quantitative data points were found in the provided articles for GEG.US regarding any of the KPIs under the 'Fair Pay & Worker Respect' value. While states GEG.US has 31 employees,

this information alone does not map to any specific scoring tier for the given KPIs. Other articles refer to different entities named 'Elm Group' or 'ELM Companies' and explicitly state they do not contain data relevant to GEG.US.

Fair Trade & Ethical Sourcing

Great Elm Group, Inc. operates as a holding company focused on investment management, specialty finance, and real estate.

The provided articles consistently state that information related to fair trade and ethical sourcing metrics is 'Not Applicable' or not available. This indicates that the company's business model does not involve the procurement or trade of physical commodities, nor does it have a supplier base requiring welfare or sourcing audits, exposure to upstream labor practices, or supply chain tiers to map in the context of fair trade and ethical sourcing. Consequently, all KPIs related to these aspects are scored as N/A, aligning with the rubric's definition for organizations not involved in such activities.

Honest & Fair Business

The company has a Whistleblower Policy, effective December 5, 2019, which allows individuals to report non-compliance anonymously through an Ethics Line (website or email) and explicitly prohibits retaliation against complainants who raise concerns in good faith.

The Chair of the Compensation & Governance Committee investigates retaliation complaints, and the Audit Committee is responsible for establishing procedures for handling accounting-related complaints. All directors, officers, and employees are required to sign a certification acknowledging receipt of the Code of Conduct and Ethics. The Audit Committee reviews the company’s policies relating to the avoidance of conflicts of interest and reviews past or proposed transactions between the company and management/board members. All Audit Committee members are determined to be independent under Nasdaq and SEC rules. The Audit Committee has the authority to interpret the Code of Business Conduct and Ethics, receive reports of breaches, grant waivers, and oversee its implementation. The Code of Conduct explicitly states that offering, paying, soliciting, or accepting bribes is unacceptable, and personnel must not participate in activities that may result in a conflict of interest, which must be reported to a Supervisor or the Board.

Kind to Animals

Great Elm Group, Inc. is a holding company focused on investment management, specialty finance, and real estate.

Its business model does not involve product manufacturing, animal testing, animal-derived ingredients, animal husbandry, or direct impact on wildlife habitats. Consequently, all KPIs related to these activities are not applicable. One article explicitly states the company has "No animal exploitation," which aligns with its service-oriented operations.

Planet-Friendly Business

The company has no mentioned regulatory actions, violations, fines, or compliance issues.

No other specific data points related to planet-friendly business practices were found in the provided articles.

Safe & Smart Tech

Great Elm Group, Inc. (GEG), through its subsidiary GECM, has not reported any material cyber-attacks since the beginning of 2024, covering a period of over two years.

The company implements a cybersecurity program that includes encryption, data loss prevention technology, authentication technology, entitlement management, access control, anti-virus and anti-malware software, and transmission of data over private networks. This program is reviewed and assessed by third parties, and annual penetration testing of its network, including critical systems, is conducted. GECM provides employees with cybersecurity awareness training at onboarding and semiannually, along with interim security reminders and alerts, and third-party consultants conduct regular phishing tests. The company's privacy policy, effective November 17, 2016, states that users have rights of access to or correction of personal information under UK and other data protection laws. GEG also requires its service providers not to sell, transfer, or use Personally Identifiable Information (PII) other than in accordance with its privacy policy. GECM performs annual reviews of its critical vendors to assess their security posture. However, specific quantitative data on the percentage of data encrypted, the percentage of employees trained, the scope of security testing, or details on data minimization practices are not provided.

Zero Waste & Sustainable Products

No specific, concrete data points related to GEG.US's waste management, product sustainability, or circular economy practices were found in the provided articles.

The articles discuss broader sustainable finance topics or indicate a lack of company-specific information, preventing any KPI assessment.