Guidance

SS39/15 – Whistleblowing in deposit-takers, PRA-designated investment firms and insurers

Chapter

Introduction

Printed on: 06/11/2024

Rulebook at: 10/12/2018

1

Introduction

1.1

This supervisory statement applies to the relevant firms (deposit-takers with assets greater than £250 million, PRA-designated investment firms and insurers - meaning insurance and reinsurance firms within the scope of Solvency II - and to the Society of Lloyd’s and managing agents), but also to individuals working in the financial services sector. It will also be of interest to a wider range of firms that may wish to comply voluntarily. This statement sets out the expectations of the PRA on how firms should comply with the PRA’s rules on whistleblowing.

  • 10/12/2018

1.2

This statement is intended to be read together with the rules contained in the Solvency II Firms: Whistleblowing and CRR Firms: General Organisational Requirements Parts of the PRA Rulebook. Readers may also find it helpful to read this statement alongside PRA Policy Statement 24/15 published on 6 October 2015.[1]

  • 10/12/2018

1.3

This statement sets out the expectations of the PRA for firms in relation to the:

  • whistleblowing procedures;
  • training; and
  • whistleblowers’ champion.
  • 10/12/2018