FN-AC-as a result of legal proceedings associated with marketing and communication of financial product-related information to new and returning customers Please refer to Northern Trust’s periodic reports under Section 13 or Section 15(d) of the Securities Exchange Act of 1934, as amended (Exchange Act), and other filings made with the U.S. Securities and Exchange Commission (SEC) for a description of material legal proceedings, if any. FN-AC-270a.3 - Description of approach to informing customers about products and services We believe in the importance of fair and industryconsistent disclosure of investment performance results, and have thus adopted the CFA Institute's Global Investment Performance Standards which guide how we regularly communicate investment performance results and risk statistics to clients and prospects.