COM.06.02officeUnion-wide competence
Purpose and competence
Protected market-conduct report is maintained for Whistleblower intake. Its scope follows the office’s mandate: Receive protected reports of market misconduct with a safe representation and referral route.
An employee can provide evidence only through an employer-controlled terminal
Record specification
Custodian and access
Whistleblower intake assessment lead → · Public records access procedureFinding and assessment question
- Instrument
- Protected market-conduct report
- Illustrative question
- An employee can provide evidence only through an employer-controlled terminal
- Assessable source material
- reported conduct; source risk; consented contact