Duty to Come Forward

KnectIQ™ is committed to open communication with employees as it relates to ethical and legal issues. All employees are expected to report any known potential legal or ethical wrongdoing to their supervisor, management, or the Compliance Officer. Employees are encouraged to ask questions if they have any concerns about compliance with law, our standards of business conduct or applicable policies and procedures.

Investigation of Complaints

KnectIQ™ is committed to thoroughly investigating every inquiry and complaint an employee makes. Each complaint will be fully investigated on the merits and, depending on the results of the investigation, appropriate action will be taken.

When to Raise Issues

Every KnectIQ™ employee is obligated to bring to the attention of management any instance in which he or she is aware of conduct that violates these Standards, KnectIQ’s™ policies and procedures or applicable laws and regulations. Employees are to bring concerns to management even though they are not certain whether legal or ethical standards are being violated. Employees have a duty to make management aware whenever they believe adequate resources or training are not being provided to enable employees to comply with the appropriate legal standards.

Non-Retaliation

KnectIQ™ prohibits harassment of, or retaliation against, any employee or other person who, in good faith, reports a known or suspected violation of law, its code of business conduct or company policies and procedures. Subject to KnectIQ’s™ obligations under applicable laws and regulations and its need to investigate the issue, KnectIQ™ takes every step possible to ensure the confidentiality of its employees.

Any employee who engages in malicious or spurious reporting of violations will be subject to discipline, up to and including termination of employment.

Any supervisor who has engaged in, or condoned, any form of retaliation against an individual in response to a good-faith report of a violation or suspected violation will be subject to discipline, up to and including termination of employment.

Process

Employees are encouraged to raise issues or concerns with their immediate supervisors. If, for any reason, an employee is uncomfortable approaching his or her supervisor, the employee may also bring issues forward by speaking with:

  • Any member of the senior management team of KnectIQ™
  • Any member of the Compliance Office