Investment Whistleblower Protection Acknowledgment Form

Report Investment Fraud with Complete Whistleblower Protection

Suspected investment fraud, Ponzi schemes, and fiduciary breaches can devastate investors and undermine market integrity. If you've witnessed or have knowledge of potential financial misconduct, reporting it through proper channels with whistleblower protections is crucial.

This Investment Whistleblower Protection Acknowledgment Form provides a secure, confidential way to report suspected fraud while ensuring you understand your rights and protections under federal and state whistleblower laws. Whether you're an employee at an investment firm, a compliance officer, or someone with direct knowledge of securities violations, this template helps you document and report concerns appropriately.

Why Use Paperform for Whistleblower Reports?

Security and confidentiality are paramount when reporting financial fraud. Paperform is SOC 2 Type II compliant and GDPR-ready, ensuring your submission is handled with the highest security standards. You can collect sensitive information, set up conditional logic to gather relevant details based on the type of fraud reported, and automatically route submissions to the appropriate compliance officers or legal teams.

With Paperform's encrypted data collection and secure submission process, whistleblowers can feel confident their report will be protected. The form can be embedded on secure internal portals or sent via private links, and all data remains encrypted in transit and at rest.

Automate Your Compliance Workflow with Stepper

Once a whistleblower report is submitted, time is of the essence. Use Stepper to automatically trigger your compliance response workflow:

• Route reports to legal counsel and compliance teams immediately
• Create case files in your document management system
• Send acknowledgment emails to reporters (if they choose to identify themselves)
• Update internal tracking systems and compliance logs
• Trigger investigation protocols based on fraud type and severity

Stepper's AI-native workflow automation ensures no report falls through the cracks and that your organization responds promptly and appropriately to potential fraud allegations.

Who Should Use This Form?

This template is ideal for:

• Investment firms and asset management companies establishing internal reporting mechanisms
• Compliance departments at broker-dealers, RIAs, and financial institutions
• Legal teams handling securities fraud investigations
• Corporate governance departments at public companies
• Regulatory compliance officers in the financial services sector

By providing a clear, accessible reporting channel with explicit whistleblower protection acknowledgments, you demonstrate your commitment to ethical practices and regulatory compliance while empowering individuals to report suspected fraud without fear of retaliation.