Whistleblower Policy
Confidential and non-retaliatory reporting of concerns.
Effective: January 1, 2026 · Reviewed annually by the Chief Compliance Officer
The Aukeo Whistleblower Policy provides a confidential channel for the reporting of concerns regarding the firm's operations, compliance, financial reporting, investment activity, personnel conduct, or safety. Reports may be made anonymously and are handled without retaliation.
What may be reported
Reports may concern violations of the Code of Ethics, financial-reporting integrity, securities laws, discrimination or harassment, safety, or any other matter the reporter reasonably believes warrants review.
How to report
Reports may be submitted by email to [email protected] or through the third-party reporting channel identified on internal firm channels. Reports may be anonymous.
Non-retaliation
Retaliation against a good-faith reporter is prohibited and will result in discipline up to and including termination. All reports are handled with confidentiality appropriate to the matter.
Questions regarding this policy may be directed to the Chief Compliance Officer at [email protected].