Protection Officer-related report description:
Protection Officer is responsible for centralised receipt of all reports, including reports that are related to persons, mentioned in this description. This Speak Up line may be used to report in confidence suspected misconducts by following persons:
- AFSA employees including ABC-related, HR-related and regulation-related misconducts.
- ABC-related misconducts include bribery, corruption, kickbacks, conflicts of interest with financial benefit, fraud, theft, abuse of authority, or money laundering.
- HR-related misconducts include discrimination, harassment, bullying, unsafe working conditions, unfair dismissal, or interpersonal conflicts where they indicate systemic issues or retaliation for reporting.
- Regulation-related misconducts include insider trading, market manipulation, conflicts of interest, serious breaches of internal operational procedures.
- AIFC Participants, including breaches of AIFC law, AML/CFT violations, market abuse, misleading statements, breaches of client asset and money rules, failures in systems and controls, or other unlawful or unscrupulous actions by regulated firms or individuals.
- Board of Directors, contractors, service providers or any other person having regulatory relationship with AFSA. Suspected misconducts by these persons include bribery, corruption, kickbacks, conflicts of interest with financial benefit, fraud, theft, abuse of authority, money laundering, discrimination, harassment, bullying or interpersonal conflict.
Escalation-related report description:
This Speak-Up line may be used to:
- Report the suspected misconduct by an AFSA Protection Officer; or
- to request a review of:
- the initial classification of a report;
- the handling of a report (including timeliness or communication); or
- the outcome communicated to the reporter.
Please be informed that the review of the report considers whether the report was triaged, investigated, and concluded in line with AFSA Speak-Up Regime Policy and applicable procedures, and recognized best practices. It does not reinvestigate the facts unless material procedural breaches are identified.
