COMPLIANCE

What is the Communications Channel?

The Communications Channel is an objective and effective communication tool that the Ágora Invest Group makes available to all group’s professionals, as well as to those third parties that maintain a relationship with the Group. Through the Communications Channel, any doubts or questions may be raised regarding the interpretation and application of the internal regulations relating to the crime prevention manual (including the rules set out in the Code of Conduct). Likewise, it is also possible to report any indication or reasoned suspicion of an action that violates the Group’s internal regulations or the law by sending us a report through the Communications Channel. At Agora Invest Group, we appreciate the cooperation of all those who interact with the group. Therefore, any comment, question or complaint will be welcomed and answered promptly and with the utmost respect for the privacy and confidentiality of the user.

How can I submit a Comment and/or Complaint?

If you do not wish to personally communicate a comment or complaint to the Agora Group’s Compliance Committee, you can submit it through the Agora Invest Group’s Communications Channel. Once the Channel is accessed, the user must agree to comply with the conditions of use, as well as to accept the Processing of Personal Data. The user will then be allowed to submit the comment or complaint in question through the corresponding links (one to submit a comment or doubt, and another to submit a complaint) and the user must fill in the drop-down fields.

What information do I have to provide if I want to submit a Comment and/or Complaint?

In order for a query or complaint to be accepted and assessed, it must contain, at least, the identification details of the person submitting the query (except in those jurisdictions where anonymity is legally required); the query being raised or a description of the facts reported; and, where appropriate, proof or evidence supporting the facts reported. The form accessible through this website specifies the information required.

What if I am worried or apprehensive about making a report?

It is essential that any suspicion, knowledge or indication of irregular behaviour contrary to the Group’s internal rules be brought to the attention of the Ágora Invest Group, as we can only proceed to deal with such situations if we are aware of them. The Ágora Invest Group guarantees the utmost confidentiality of the person who raises an enquiry or the whistleblower in good faith at all stages of the investigation, which will not be disclosed to third parties, the subjects reported or their hierarchical superiors, unless legally required or with the express consent of the whistleblower. Notwithstanding the above, in the event that it is deemed necessary for a proper investigation of the reported facts, the information strictly necessary will be shared, involving as few people as possible. Likewise, the Ágora Invest Group undertakes to prevent, investigate and act against any possible retaliation or threat, direct or indirect, against a whistleblower for the mere fact of having processed a complaint in accordance with the regulations governing the operation of the Ágora Invest Group’s Communications Channel.

What happens after the complaint is filed?

Once the complaint has been submitted, it is forwarded to the Compliance Committee, which will be responsible for assessing and analysing it in order to determine whether the complaint (based on the evidence presented) is likely to meet the requirements to be admitted for processing. The Compliance Committee’s decision to admit the complaint shall be communicated to the complainant. If the complaint is admitted, the Compliance Committee shall begin the process of investigation and investigation of the facts reported in order to determine whether they constitute a breach of the aforementioned regulations. Once the Compliance Committee has reached a written decision on the outcome of the investigation process, it shall notify the complainant and other affected persons, unless the law or the characteristics of the facts require that they be kept confidential.

To make a comment, question or complaint, please click here.