Kenanga Group’s Speak Up Framework

Kenanga Group’s Speak Up Framework is for the reporting of any concerns made in good faith about behaviour, conduct, practice, deeds and/or omissions that might be either unlawful or irregular that implicates Kenanga Group, by any party without fear of reprisal.

Kenanga Group is committed to ensuring its businesses and operations are conducted premised on the concepts of transparency, integrity and accountability, and that it is in compliance with applicable laws and regulations at all times.

In line with this vision, Kenanga Group has put in place a Speak Up Framework to govern the reporting of any matter which may be detrimental to the reputation, businesses or operations of Kenanga Group. The Speak Up Framework by Kenanga Group is a demonstration of its commitment towards establishing an ethical culture with underlying principles of integrity and high standards of corporate governance.

The Group Speak Up Policy lays the foundation for the framework and it provides, among others, assurance to all relevant stakeholders, both internal and external, of the safeguards accorded when making a report in good faith and further, that all reports will be handled objectively and impartially.

What is the Group Speak Up Policy?

The Group Speak Up Policy is Kenanga Group’s written policy explaining the approach of Kenanga Investment Bank Berhad’s and its subsidiaries to speaking up, or commonly known as whistleblowing. The Group Speak Up Policy sets out the overall framework and explains the types of concerns that should be raised and how to do so via the channels made available as well as Kenanga Group’s commitment to investigate and take the appropriate actions as necessary. The Group Speak Up Policy also affirms the protection from retaliation available to any party speaking up in good faith.

Summary of Kenanga’s Group Speak Up Policy

Who may speak up under the Group Speak Up Policy?

Any party may speak up pursuant to the Group Speak Up Policy. This includes employees, consultants, vendors, business partners and clients of Kenanga Group, who has a legitimate concern relating to matters such as bribery, corruption, conflict of interest or any matter that is possibly a violation of laws and regulations which would implicate Kenanga Group.

What are the available channels for me to speak up under the Group Speak Up Policy?

The Group Speak Up Policy provides for an External Report Recipient (an external independent third party appointed by Kenanga Group) to receive reports, and submission of a report may be done through the dedicated internet platform (e-form) which can be accessed via the link or the QR Code below.:

External Report Recipient

Website: https://kenanga.confideplatform.com/c/whistleblower

You are also at liberty to make a report to the designated representatives from within Kenanga Group who are members of the senior management as below:

Report Recipient	Designation in Kenanga	Channel
Speak Up Director	Chairman of the AC	speakupdirector@kenanga.com.my
Speak Up Officer I	Group Managing Director	speakup1@kenanga.com.my
Speak Up Officer II	Group Chief Regulatory and Compliance Officer	speakup2@kenanga.com.my

I am a client of Kenanga and have queries regarding a product by Kenanga Group. Can I use the channels made available to seek clarification?

Whilst Kenanga Group appreciates your interests and is ever ready to address any queries on its products and services, the Speak Up channels are provided specifically to receive reports relating to matters described above.

Please consider the channels below to submit your report to and the appropriate department/division will look into the report:

For general queries about Kenanga Group – https://www.kenanga.com.my/contact-us/queries-feedback/
For matters relating to clients and their accounts – https://www.kenanga.com.my/contact-us/complaint-handling/

What information should I provide in my report?

It is important to provide as much information as you can in order to facilitate a thorough investigation process.

When making a report, it is crucial that the following information is provided to the extent possible:

Details of the person involved in the matter reported of (including their name, designation, department/division/subsidiary of Kenanga Group as well as how you know the said person);
Type and description of misconduct/wrongdoing and the date, time and location of the misconduct/wrongdoing;
Supporting information such as documents, photographs or videos and also names of witnesses; and
Whether the matter had been disclosed to any other party and if so, the details of the same.

Ideally, you should also provide your name and contact details in order for the investigation team to communicate with you and where possible, to be informed of the outcome of the investigations.

If you are reporting via email or post, you are encouraged to use the Speak Up Form which can be downloaded/obtained here. If you report to the independent external third party using the website, the online/web-form readily identifies the information that should be provided.

Will a report that I submit via the Speak Up Channels be kept confidential?

Yes, any report that you make on good faith and on reasonable grounds, as well as any information you provide in relation to the report, including your identity will be kept confidential from any third party within the limitations of any legal and regulatory disclosure requirements.

Details of the report will only be shared with internal parties who have a legitimate basis to know the same such as the investigating officer or the Audit Committee.

I am an existing client / vendor of Kenanga Group and I am worried of the consequences that may follow if I were to make a report. Will I be protected?

Kenanga Group is committed to ensuring that any party who make a report in good faith pursuant to the Group Speak Up Policy are protected from reprisals or retaliation from Kenanga Group.

In this regard, as mentioned above, not only is your identity kept confidential but also, any party who takes retaliatory action against you will be subject to the appropriate actions under the relevant policies of Kenanga Group. However, you are to note that making a report knowing it is false or maliciously will not accord you the protections aforementioned.

What happens to the report received by Kenanga Group?

A preliminary assessment of the matter reported on will be done and this includes determining whether the report does in fact come within the scope of the Group Speak Up Policy. This preliminary assessment is done objectively and the decision on whether the matter would be further investigated depends on a number of factors including the sufficiency of the information and details provided, any documentation submitted and if the report on the face of it shows a reasonable belief or basis of the commission of a misconduct. Hence, it is important you provide contact information so that clarification could be sought if necessary at this stage.

If the initial assessment suggests or indicates the possibility of a misconduct on a totality of all circumstances, a thorough and extensive investigation process will then be undertaken according to the Group Speak Up Policy.

However, if during the initial assessment the report is discovered to be made in bad faith or is a matter outside the scope of the Group Speak Up Policy, it will be looked into by the relevant department/division within Kenanga Group pursuant to their respective policies and procedures.

How can I help with the investigation undertaken pursuant to a report I made?

Providing as much information along with relevant evidence will greatly assist the investigation process. In addition, providing your contact details and being prepared to be interviewed or provide clarification on matters raised in the report will also facilitate the investigation.

Will I be informed of the outcome of the investigations on a report I made?

If you have provided your contact details, you will be informed on the status of the investigation as well as the findings, subject to existing policies of Kenanga Group. Please note that actions taken (if any) against the party reported on following the conclusion of an investigation may be confidential.

Accessibility & Settings

Kenanga Group’s Speak Up Framework

Kenanga Group’s Speak Up Framework is for the reporting of any concerns made in good faith about behaviour, conduct, practice, deeds and/or omissions that might be either unlawful or irregular that implicates Kenanga Group, by any party without fear of reprisal.

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