FCA Employee Handbook - Financial Conduct Authority

First and foremost, if you have a reasonable belief that wrongdoing is taking, has taken oris likely to take place, you will be treated fairly and justly by the FCA and we will take anymatter seriously.We will take all reasonable steps to ensure that no person under our control victimises orretaliates against you or subjects you to any detriment as a result of you raising a genuineconcern under this policy.If you disclose to us in good faith, we undertake that you will not lose your job becauseyou did so.What happens if I am implicated?If you blow the whistle and actively cooperate with an investigation in which you may beimplicated in any wrongdoing, you are likely to receive a lighter sanction than might otherwisehave been the case (unless the misconduct is so serious that no amount of cooperation orother mitigating conduct can justify a decision not to adopt that particular sanction).ConfidentialityIn raising a concern about wrongdoing (unless you have specifically requested anonymity), youmay assume that only those FCA employees involved in investigating it will know your identity.We will not reveal your identity outside this group except:where we are legally obliged to do so;where that information is already in the public domain;on a strictly confidential basis to a professionally qualified lawyer or accountant whengetting advice; orto the police or as otherwise required under anti-money-laundering requirements;If there are any other circumstances in which we are required to reveal your identity outsidethose identified above, we will discuss this with you first. Under no circumstances will wereveal your identity outside this list without your knowledge.What happens after the investigation?The Director of Internal Audit will ensure, to the appropriate extent, that the findings of theinvestigation are communicated to:you, as the person raising the wrongdoing concern;the individual(s) under investigation; and if appropriate, members of FCA management orother external authorities who may need to consider whether action should be taken onthe basis of the findings.The records will be destroyed after seven years, unless a longer period is considered bythe FCA to be appropriate.FCA Employee Handbook 2013 238