2A
Whistleblowing
2A.1
A firm must inform all workers:
- (1) that they may disclose directly to the PRA or to the FCA anything that would be the subject-matter of a protected disclosure;
- (2) of what would constitute a protected disclosure;
- (3) that the PRA or the FCA are prescribed persons under section 43F of the Employments Rights Act 1996 and the effect of making a protected disclosure to the PRA or to the FCA; and
- (4) of the means available to make a protected disclosure to the PRA or the FCA.
[Note: Article 73(2) of MiFID II]
- 03/01/2018
2A.2
If the firm:
- (1) is a member of a group which includes a CRR firm; and
- (2) the CRR firm is subject to General Organisations Requirements 2A;
the firm must inform all its workers in the UK of the CRR firm’s staff disclosure channel and explain that the staff disclosure channel is available to them.
[Note: Article 73(2) of MiFID II]
- 03/01/2018