Mercuria Code-of-Conduct Web - Flipbook - Page 20
Whistleblowing, Enforcement
and Compliance
REPORTING VIOLATIONS
All employees are expected to report to Management, Compliance or Legal any violations,
suspected violations or potential violations of the Code irrespective of who is involved.
Mercuria will ensure that no retaliation or adverse work-related consequences will result
from this. Mercuria views active employee participation in compliance affairs and the
protection of our company positively and welcomes any contribution by its employees to
preserve the ethical culture, strength and stability of Mercuria.
Mercuria maintains an active policy to protect whistle-blowers. Copies of this policy, which
provides details of Mercuria’s non-retaliation commitment and details about how to make a
report, are available by entering the term “Whistleblower” in the search section of intranet
or by navigating to the Policies and Procedures section of the Compliance Department on
the Mercuria intranet.
ENFORCEMENT OF THE CODE OF CONDUCT
Breaches of The Code will be taken seriously by Mercuria and appropriate disciplinary action,
potentially including dismissal, will be taken against any employee in the event of a breach
or attempted breach of The Code.
OBTAINING ADVICE
If you have any concerns, doubts or questions regarding the principles outlined in this Code,
or The Code itself, you should contact Management, Compliance or the Legal Department
for guidance.
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