Whistleblowing at LSEG

Whistleblowing at LSEG

Speak up - your concerns matter

London Stock Exchange Group and its subsidiary companies (“LSEG”) are committed to providing an open environment where our employees, customers, shareholders, vendors and other third parties feel comfortable raising concerns about adherence to our Code of Conduct, relevant laws and regulations, or if they consider something unethical or potentially harmful. 

Whistleblowing hotline

Whistleblowing is the term for the confidential disclosure by an individual of a concern encountered in the workplace relating to a potential wrongdoing. Examples of such wrongdoings include but are not limited to:

  • Conduct and behaviour which breaches or falls short of the LSEG Code of Conduct.
  • Criminal activity, such as insider dealing, fraud, bribery or corruption.
  • Breaches of regulatory or legal requirements e.g., competition or anti-trust laws, data protection, intellectual property, confidentiality or benchmark regulations.
  • Breaches of financial, accounting, tax or auditing obligations.
  • Breaches of IT security or other security policies.
  • Breaches of health and safety requirements or damage to the environment.
  • Conduct that harms the reputation, activities or financial well-being of LSEG.
  • Miscarriages of justice.
  • Retaliation or attempts at retaliation for raising a concern.
  • Any attempt to conceal any of the above or other wrong-doing.
  • LSEG’s confidential whistleblowing telephone and online reporting services are provided by an independent third party, Navex Global, who provide secure and confidential reporting through their platform Ethics Point.

Individuals may submit confidential and anonymous whistleblowing concerns online or through the local confidential telephone lines listed below. All local telephone lines are supported by experienced interviewers trained to recognise all potential forms of misconduct, and who will additionally translate any reports into English as part of the submission process. All services are available 24 hours per day, 7 days per week. 

Raise a concern online

Our whistleblowing reporting service does not preclude any individual from reporting crimes to the competent authorities so as to avoid any risk of conflict and ensure compliance with all applicable local laws.

What will happen to your report?

LSEG take whistleblowing very seriously. All concerns raised will be investigated in line with the Speak Up policy and associated procedures. Depending on the investigation findings, the appropriate and proportionate action will be taken to address any issues identified.

The Speak Up team will acknowledge receipt of every concern promptly and, in any event, within 7 days of receiving it.

The Speak Up team will endeavour, to the extent possible, to keep the person raising the concern informed when the investigation has been completed and, where appropriate and subject to any applicable laws and regulations, its outcome and any follow up actions.

If the investigation does not resolve the reporter’s concern, the reporter can lodge a complaint in writing to the Chair of the Audit Committee who consider all details of the complaint and take the appropriate action.

Whistleblowing hotline phone numbers

Country

Local Phone Number (First step)

Second step number

Australia

1-800-71-9128

Belgium

0-800-100-10

855-883-2426

Brazil

0-800-890-0288

0-800-888-8288 (Cell)

855-883-2426

855-883-2426

Canada

1-855-883-2426

China

400-601-3252

France

0800-90-6589

Hong Kong

800-96-1119

India

000-117

855-883-2426

Israel

180-931-7177

Italy

800-172-444

855-883-2426

Japan

00531-11-0431 (KDD)

0066-33-830661 (Softbank)

0034-800-600273 (NTT)

Malaysia

1-800-80-0011

1-800-81-8510 (IFTS)

855-883-2426

Mexico

001-844-451-1642

Netherlands

0800-020-1591

Portugal

800-800-128

855-883-2426

Romania

0808-03-4288

855-883-2426

Singapore

800-110-2195

Sri Lanka

2-430-430 (Colombo)

112-430-430 (Outside Colombo)

855-883-2426

855-883-2426

Switzerland

0-800-890011

855-883-2426

Taiwan

00-801-102-880

855-883-2426

United Arab Emirates

8000-021

8000-555-66 (du)

8000-061 (Military-USO and cellular)  

855-883-2426

855-883-2426

855-883-2426

United Kingdom

0800-89-0011

855-883-2426

Raising Concerns regarding companies listed on our Exchange 

Please note that London Stock Exchange has separate processes and dedicated teams to consider concerns or enquiries relating to compliance with the relevant London Stock Exchange rulebooks by issuers admitted to our markets, member firms or nominated advisers, or which relate to potentially abusive behaviour from trading on one of our markets.

Details of where and how to raise concerns or enquiries over such matters and the relevant complaints and enquiries handling framework can be found here and here. For details of our rulebooks please refer to: Rules of the London Stock Exchange; Admission and Disclosure Standards; AIM Rules for Companies; AIM Rules for Nominated Advisers; Securities Market Rulebook

Confidentiality

The investigative team will always endeavour to keep the identity of the whistle-blower confidential and ensure that it remains so after the investigation is concluded unless disclosure is required by law or the regulators.