Whistleblowing Policy

Whistleblowing Policy

This is an example of a whistleblowing policy for a discretionary management firm.


Our policies don't amount to legal, regulatory or accounting advice. Rather, they've been designed to save you time in writing your own from scratch. You'll need to tailor this sample policy for your own purposes – it's in Word format and is fully editable.


Start by replacing the ComplianceWizard logo with your own and then make any necessary alterations to reflect your own firm’s needs and style.





Understanding whistleblowing

  • What is whistleblowing?
  • Whistleblowing law
  • Whistleblowing advice

Blowing the whistle

  • Blowing the whistle internally
  • Blowing the whistle externally
  • File Licence

    Once purchased, you can use/alter/amend for your own investment firm on a perpetual licence basis. Not maintained.