INTRODUCTION

The Directors and employees of Jones Lang Wootton (JLW) are committed to observe high business practices and strong personal ethics when discharging our duties and responsibilities. Integrity must be observed at all times and emphasis must be placed on openness, transparency and compliance with all applicable laws and regulations.

 

PURPOSE OF THIS POLICY

In accordance with the Whistleblower Protection Act 2010 this policy provides a structured reporting channel and guidance to all employees and external parties for reporting instances of unethical behavior, fraud, bribery, misconduct, corruption, abuse of power, conflict of interest, theft, embezzlement and noncompliance with procedures without fear of reprisals, victimization, discrimination and/or being disadvantage, provided that the disclosure is made in good faith.

 

SCOPE AND APPLICATION

This policy applies to all individuals working for JLW including all employees and any third parties affiliated and associated with JLW. Affiliated and associated third parties include but are not limited to vendors, suppliers, contractors, agents, consultants, service providers, trainees, interns, clients and potential clients.

 

DEFINITIONS

In the context of this policy the terms listed below have the following definitions:

  1. Designated Recipient: The designated person to whom the whistleblower is to direct his report.
  2. Improper Conduct: Any conduct in relation to a breach of legal obligation (including negligence, criminal activity, breach of contract and breach of law), miscarriage of justice, danger to health and safety or the environment, mismanagement, corruption, abuse of authority and the act to cover up of any of these.
  3. Whistleblower: Refers to a person who informs the Designated Recipient when he/she has reasonable ground to believe that improper conduct has taken place or is going to take place.
  4. Whistleblowing: The act of reporting or making a disclosure about an improper conduct to the Designated Recipient.
  5. Wrongdoer: The person who is contemplating or performs the improper conduct.

 

REPORTING PROCEDURES

  1. Who can report?
    1. Internal Whistleblower – Any JLW employee including permanent, contract, temporary, agents, consultants who has a concern of improper conduct by a JLW employee or an affiliated or associated third party; or
    2. External Whistleblower – Any external party who has a concern of improper conduct by a JLW employee or an affiliated or associated third party.
  2. What to report?
    1. The name and designation (if employee) or name, designation, contact number, name of employer, employer’s address (if not an employee) of the whistleblower.
    2. The basis or reasons for his/her concerns, including details of the improper conduct such as its nature, the date, time, and place of its occurrence and the identity of the alleged wrongdoer.
    3. Particulars of witnesses, if any.
    4. Particulars or the production of documentary evidence, if any.
  3. When to report?
    1. A report on improper conduct may be made if a person has reasonable belief that the alleged wrongdoer is engaging, has engaged or is prepared to engage in improper conduct.
    2. The whistle blower is not expected to have substantial evidence of proof beyond reasonable doubt or be able to identify a particular person to which the report relates. If the whistleblower knows as a matter of fact that there are reasonable grounds of suspicion that an improper conduct is going to take place, is taking place or has taken place, the whistleblower shall come forward with any information or document(s) that they have.
    3. A whistleblower is expected to act in good faith and not to abuse the protection of anonymity.
  4. How to proceed?
    1. All reports are to be made to the Designated Recipient via the procedures below:
      1. A report can be made in writing, verbally or in an email. If a disclosure is made verbally, it must be followed by a report in writing or via email.
      2. Any evidence obtained from the whistleblower shall be documented and kept confidential.
    2. All disclosures are to be made to the Designated Recipient as designated below:
      1. Disclosure for all levels of employees to the Compliance Officer with direct report to the Managing Director.
      2. Disclosure for Compliance Officer or Managing Director to the Head of Human Resources with direct report to the Chairman.

 

ASSESSMENT AND INVESTIGATION

  1. If an investigation is required the Designated Recipient and the Direct Report shall appoint a team to carry out the required preliminary assessment and investigation.
  2. Whistleblowing reports shall be investigated and handled promptly with the whistleblower and the alleged wrongdoer being treated fairly.

 

RED FLAGS

Appendix A details a list of possible improper conduct that may arise. If an employee and/or an affiliated or associated third party come across any of these red flags or believe it may occur potentially, he/she must make a report to the Designated Recipient.

 

PROTECTION

  1. Upon making a disclosure in good faith, based on reasonable grounds, in accordance with the Whistleblower Protection Act 2010:
    1. The whistleblower shall be protected from reprisal within the Firm as a direct consequence of his/her disclosure;
    2. The whistleblower shall have immunity from civil and criminal action;
    3. The whistleblower shall have protection from detrimental action; and
    4. The whistleblower’s identity shall be protected, i.e. kept confidential unless otherwise required by law.
  2. If the whistleblower, in good faith, reasonably believes that he/she is being subjected to harassment, victimization or reprisal as a direct consequence of having made a disclosure, he/she should report to the Compliance Officer.

 

Red Flags Appendix A

The following is a non-exhaustive list of possible improper conduct that may arise and which may raise concerns:

  1. Any act of giving or receiving of any gratification or reward in the form of cash or in-kind of value for performing a task in relation to an employee’s job responsibilities;
  2. Forgery or alteration of company information and data;
  3. Misappropriation or embezzlement of funds, supplies, or other assets belonging to the Firm;
  4. Giving, solicitating or accepting of a bribe or a favor in exchange for direct or indirect personal benefit;
  5. Exchange of gifts directly or indirectly both within and outside of the work premises in the course of their duties and business dealings which may influence a decision-making process;
  6. Giving, soliciting or accepting a facilitation payment either directly or indirectly to expedite and facilitate performance;
  7. Make or offer to make, any monetary or such other benefits in-kind, as a political contribution to political parties, political party officials or candidates for political office;
  8. Impropriety in handling or reporting of money or financial transactions;
  9. A request to provide employment or some advantage to a friend or relative;
  10. Receiving an invoice that appears to be nonstandard;
  11. Any request or requirement by any party for the use of an agent, intermediary, consultant, distributor or supplier that is not typically used by or known to the Firm;
  12. Changing the origin or nature of money or assets by hiding in legitimate business dealings (money laundering);
  13. Profiting as a result of insider trading/knowledge;
  14. Failure to comply with the provisions of relevant laws and regulations where the wrongdoer knowingly disregards, or does not comply with such provisions;
  15. Financial malpractice;
  16. Abuse of power and position for personal gain; and
  17. Any act that poses danger to the health, safety and lives of employees and/or the public.