Whistleblowing channel
What is the Ethical Channel?
iCapital provides the Ethical Channel as a means to report or inform about any breach in order to promote respect for the law and the rules of conduct set out in its Code of Ethics. iCapital guarantees the confidentiality of communications received, which may also be submitted anonymously. You may also use this Channel to ask how to apply the law or iCapital’s internal regulations.
We recommend reading the Ethical Channel Management Policy beforehand, where you will find all information about the channel.
This channel is not for complaints and/or claims about the service received from iCapital. For these cases, the email address atencioncliente@icapital.es is available.
Who can submit a communication?
- Employees, executives and members of the Board of Directors of iCapital.
- Interns.
- Former employees.
- Job applicants.
- Temporary agency workers.
- Clients or prospective clients.
- Shareholders.
- Collaborators.
- Suppliers and persons under their supervision.
- Third parties with whom there is any type of relationship or link.
- Any other person who has detected inappropriate conduct.
If I file a report, who can I report?
It is possible to report employees, executives, members of the Board of Directors or external collaborators of iCapital who, under their authority, have committed irregularities or conduct included within the scope of the Ethical Channel Management Policy.
What is the process for creating a report or communication?
To submit a report, access the platform and start by clicking the «Create a report» button on the left-hand side of the Confidential Whistleblowing Channel introduction page.
- 1. When entering the «New report» section, you can decide whether or not to provide your personal data (name, surname, email, telephone). NOTICE: These fields appear by default, so if you wish to submit the report anonymously, you should not complete them.
- 2. Next, select your relationship with the company from the dropdown menu (client, employee, supplier, other).
- 3. Describe the facts in the «Report text» field.
- 4. If you have documents supporting your report, you can attach them by clicking «Choose file».
- 5. After completing the required fields, click «Send».
- 6. After submitting the report, you will receive a confirmation and a tracking code that you will need to check the status of your case. You will also be able to download a summary of your report together with the tracking code in PDF format.
It will be helpful if you inform us about:
- The conduct being reported (we suggest reviewing the Annex to the Ethical Channel Management Policy for a list of conduct).
- Whether the conduct is still occurring or has ceased.
- Whether you have previously informed someone and, if so, whom.
- Whether third parties are involved, whether internal or external to iCapital.
How do I track a report?
To find out the status of your report, access the platform and in the «Track a report» section enter the tracking code, then click «Check status». Once the code has been entered, you will be able to see the status of your case, add additional documentation or communicate with the channel manager.
IMPORTANT NOTICE: Use of the Ethical Channel ensures protection for the person submitting the report. If you wish to remain anonymous, avoid providing personal information in the description of the facts or in attached documentation. It is also recommended not to use devices provided by the company to submit the report.