A product

MAINSYSTEMS

Setor · Finance

A whistleblowing channel for the financial sector.

Banking, insurance and financial services with demanding control, analysis and documentation requirements.

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Context

Reinforced obligations

Sector regulation adds to the general regime and requires reserved handling of sensitive information.

01

Compliance and regulators

Communications about legal duties and mandatory reporting.

02

Internal and external fraud

Situations involving misappropriation, manipulation or diversion.

03

Markets and clients

Questions about commercial conduct and client protection.

04

Information security

Access, data and system continuity.

Evidence and audit

The decision chain must be documented for audit and supervision.

Configuration

Categories, teams and documents aligned with the organisation.

UNOVOX lets you configure unlimited users and unlimited languages, departments, categories, additional fields, priorities, deadlines, assignment and public documents.

Whistleblowing channel for banking, insurance and finance

Prepare before publishing

Identify who can use the channel and which matters it covers.
Define alternative routes for emergencies, complaints or specific obligations.
Appoint responsible persons and rules for conflicts of interest.
Configure access, communication, deadlines and documentation.
Test the anonymous and identified flows.

General framework: Directive (EU) 2019/1937 and its national transposition. The obligation and the concrete procedure must be assessed for each entity.