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Whistleblowing

Whistleblowing

Whistleblowing Policy​

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PURPOSE

ComplianceTrak Ltd is committed to the highest standards of transparency, integrity, and accountability in its operations. This Whistleblowing Policy is designed to encourage and enable employees, contractors, partners, and other stakeholders to report any suspected wrongdoing, illegal activities, or unethical behaviour in a safe and confidential manner without fear of retaliation.

 

SCOPE

This policy applies to all employees, officers, contractors, consultants, suppliers, and any other third parties engaged with ComplianceTrak Ltd. It covers concerns about wrongdoing, including but not limited to:

  • Fraud, corruption, or financial malpractice

  • Criminal activity

  • Breach of legal or regulatory obligations

  • Miscarriages of justice

  • Health and safety violations

  • Environmental harm or risks

  • Breach of company policies, including unethical behaviour

 

WHISTLEBLOWING DEFINITION

Whistleblowing is the disclosure of information related to wrongdoing or unethical practices within the organisation that are in the public interest. Whistleblowers may report in good faith with a reasonable belief that the information being reported indicates misconduct.

 

REPORTING PROCEDURE

If you become aware of any wrongdoing, you are encouraged to report it as soon as possible. You may raise your concern through one of the following channels:

  • Internal Reporting: Contact your immediate supervisor, the HR department, or the Compliance Officer.

  • Anonymous Reporting: You may also choose to make an anonymous report via the designated whistleblowing online or via email whistleblowing@compliancetrak.io

  • External Reporting: In cases where internal reporting may not be appropriate, you can raise your concerns with an external body such as a regulator or law enforcement agency.

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ComplianceTrak Ltd will make every effort to keep the whistleblower’s identity confidential unless disclosure is required by law or necessary to conduct a proper investigation. The whistleblower will be informed if such a disclosure is required.

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PROTECTION AGAINST RETALIATION

ComplianceTrak Ltd is committed to ensuring that whistleblowers who raise concerns in good faith are protected from any form of retaliation, discrimination, or disadvantage. Any retaliation against a whistleblower will be treated as a disciplinary offence and will be subject to appropriate action.

 

INVESTIGATION PROCESS

All reports of wrongdoing will be taken seriously and investigated promptly and thoroughly by the designated Whistleblowing Officer or an independent investigator. The whistleblower may be asked to provide further information to support the investigation. A summary of findings and actions will be communicated to the whistleblower, subject to legal and confidentiality constraints.

 

FALSE ALLEGATIONS

If a whistleblower knowingly makes a false report, this will be treated as a serious disciplinary offence and may result in dismissal or other appropriate action. However, whistleblowers who make reports in good faith, even if they are found to be mistaken, will not face any disciplinary action.

 

REVIEW OF THE POLICY

This policy will be reviewed regularly to ensure it remains effective and up-to-date with legal and regulatory requirements. Any amendments to the policy will be communicated to all stakeholders.

 

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ComplianceTrak Ltd is authorised and regulated by the Financial Conduct Authority. Our Financial Services Register number is 914597.  This information can be checked on the Financial Services Register by visiting the FCA's website, register.fca.org.uk, or by contacting the FCA on 0800 111 6768. ComplianceTrak Ltd is a company registered in England and Wales with company number 11095036 at the registered address of 14 Wistanes Green, Wessington, Derbyshire, DE55 6JN. The VAT registration number is 474767541.

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