Whistleblowing

Please note that this system is not intended to handle customer complaints or any contractual or commercial claims. If you have a customer complaint to Dock Financial S.A., please refer here.

Dock Financial S.A. (hereinafter Dock Financial) is committed to strictly complying with laws and regulations, as well as ensuring the rules set out in its Code of Conduct.

Dock Financial has established a dedicated whistleblowing channel for the following persons:

• A Dock Financial employee or former employee;
• A shareholder or a member of administrative, management and supervisory boards of Dock Financial;
• A contractor, subcontractor, supplier of Dock Financial;
• A volunteer or intern working at Dock Financial; or
• A job applicant when the information about violations is obtained during the recruitment process or in other pre-contractual negotiations.

The whistleblowing channel made available on this page allows you to report any actual or potential wrongdoing that you've seen and/or heard in your current or previous work activities with Dock Financial, resulting in a strong suspicion or evidence of any unethical, illegal or fraudulent conduct.

Link to the whistleblowing channel

Anonymity

Please note that the main idea of the whistleblowing channel is to protect the identity of the whistleblower when clarifying the facts of the case. Please ensure that you have read carefully the instructions for the anonymity on the first page of the whistleblowing channel.

Instructions to file the report

1. Making a report correctly

   In order for a report to be processed and investigated appropriately, it is important the report is as concrete as possible. It is helpful if the five questions below are taken in the account in the report:

   • Who? – who is it about? Who is affected?
   • What? – what happened? Description of the facts.
   • When? – When was the incident?
   • How? – How often did it happen?
   • Where? – Where did the incident occur?

   Please note that as a whistleblower, you should ensure that the descriptions can also be understood by persons outside your field of expertise.

2. What facts should be reported?

   We are interested in information about violations of the law or material violations of internal rules or proper conduct in the workplace. This includes, in particular, violations with potential consequences for personal well-being in the workplace, the assets or reputation of Dock Financial and violations with potential criminal consequences.

   In order for us to process your report successfully, we need as many concrete clues as possible:

   • What has happened? What is the exact situation?
   • In what period did the misconduct occur?
   • Which persons (surname, first name) and/or departments and/or business partners (exact company) are involved?
   • Who has already been informed?

   Please remember that your information can lead to decisions that have consequences for colleagues or third parties. We therefore ask you only to provide us with information of which you are convinced to the best of your knowledge and belief. Anyone who knowingly reports or publicly discloses false information may be subject to consequences and civilly liable.

3. What happens after my report?

   The information is processed in a fair and confidential process. The confidentiality of your identity is guaranteed, except in cases where the disclosure is legally required. If the disclosure of the identity is required, you will be informed unless such information would jeopardize the investigations or judicial proceedings concerned.

   Upon reception of the report, Dock Financial shall confirm the receipt of the report, if possible. You will also receive feedback of the report.