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safeguarding global financial system - Coggle Diagram
safeguarding global financial system
Speaking Up
HOW?
• Speak to someone outside of your line management chain, for example your Country Head of Compliance or a member of country senior management
• Send an email to xyz.com, which is an email address managed by Group Shared Investigative Services
• Speak to someone in your line management chain, who may not be your line manager
CONSEQUIENCE
. Out of scope concerns will be referred to an appropriate area of the bank for consideration
For In scope concerns, an independent, appropriately experienced senior colleague will consider the report
Investigative Services to determine if it is in or out of scope of the Speaking Up programme
They will acknowledge that they have received your report and you may receive periodic updates on the progress
WHEN?
• Failing to comply with codes of conduct, Group, business or country policies and procedures
• Doing anything which has or is likely to have a negative effect on our reputation or financial well-being
• Breaching rules or regulatory requirements
• Victimizing anyone for having spoken up
• Putting the health and safety of an individual in danger
• Deliberately concealing any of the above
• Failing to comply with laws or legal obligations, including committing fraud or other criminal acts
Manager
- Misconduct is damaging for everyone. It exposes the global financial system to significant risks and can damage our financial performance, reputation and the trust of everyone who has an interest in our business.
Manager
- We have a critical role to play in safeguarding the global financial system, so we must maintain a culture of strong ethics, integrity, transparency and openness. By Speaking Up you help us to identify issues and resolve them.
RAVI has been acting strangely recently, so you dug into it and discovered that he was engaged in fraud.
what will be your next step?
Let it go.
Speak up
Failing to comply with codes of conduct, Group, business or country policies and procedures
• Breaching rules or regulatory requirements
What will be your next step
Failing to comply with laws or legal obligations, including committing fraud or other criminal acts