Whistleblower Policy

Purpose and scope

Stockspot is dedicated to promoting a culture of transparency, accountability, and ethical conduct across all areas of its operations.
Our Whistleblower Policy covers a non-exhaustive list of disclosable matters including but not limited to:

  • Misconduct or an improper state of affairs such as corruption, fraud, or illegal activities
  • Serious or systemic breach of internal policy, including the Code of Conduct
  • Significant risks to public safety or the stability of the financial system
  • Violations of, or breaches of, specific laws or regulations.

Whistleblower disclosures are handled with the utmost confidentiality and are evaluated by the Whistleblower Protection Officer (WPO) if:

  • The individual is an eligible discloser; and
  • The concern pertains to a disclosable matter.

Eligible disclosers include Stockspot’s directors, employees, contractors, or other stakeholders.

Protections and confidentiality

All whistleblower disclosures made in accordance with the whistleblowing principles will be protected under the Australian laws. Disclosers will not be subjected to any form of discrimination, retaliation, or detrimental treatment in connection with an actual or suspected disclosure, even if the allegation is later found to be incorrect.

The identity of the discloser will be kept confidential, except in the following circumstances:

  • Where consent has been provided by the discloser
  • Where Stockspot is legally required to disclose the information to a legal practitioner in order to obtain legal advice regarding the whistleblower provisions under the Corporations Act
  • Where disclosure is permitted or mandated by relevant regulatory or law enforcement authorities.

Reporting a concern

Whistleblowers may report concerns anonymously and still be eligible for whistleblower protection through Stockspot’s secure anonymous reporting platform. However, choosing to remain anonymous may limit Stockspot’s ability to effectively investigate or address the reported concerns.

Upon receiving a concern, the WPO will:

  • Acknowledge receipt of the concern, provided there is a means of contacting the discloser;
  • Assess the concern to determine whether it constitutes a disclosable matter.