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Important Information
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III. Conduct & Compliance
Whistleblowing
BLACKSWAN HOLDINGS LIMITED operates a written whistleblowing channel for personnel, contractors, secondees, and third parties who have a relationship with the firm. The channel is aligned with EU Directive 2019/1937 and the UK Public Interest Disclosure Act 1998.
What to report
- Suspected fraud, bribery, or misappropriation of assets.
- Breach of sanctions, AML, or market-conduct obligations.
- Health, safety, or environmental risk.
- Retaliation against a person who has raised a concern in good faith.
How to report
Send a confidential email to office@blacksn.com with the subject line ‘Protected disclosure’. Reports may be made anonymously. The firm will acknowledge receipt within 7 days and provide an outcome within 90 days, where practicable.
No retaliation
Retaliation against a person who has raised a concern in good faith is itself a disciplinary offence. The firm protects the identity of reporters to the maximum extent permitted by law.