The scope of reporting covered by the System includes but not limited to any misconduct of the following areas:

1. Issues concerning the Group’s financial matters, such as providing false financial data to external parties or using fictitious invoices for reimbursement;
2. Issues concerning the Group’s internal controls, such as loopholes identified in certain business processes or procedures;
3. Issues concerning the Group’s staff members committing bribery or corruption;
4. Issues concerning the Group’s staff members being suspected of money laundering, terrorist financing, tax evasion, weapons proliferation financing or violation of sanctions requirements;
5. Other possible improper conducts;
6. Any behaviour attempting to conceal the abovementioned misconducts.

In relation to comment or suggestion on the Group’s services or products, unless it is within the scope of misconduct as listed above, they should be made to the Group’s relevant unit in charge of customer opinions handling for following up. If necessary, such opinions can be made via “Contact Us” as stated in the BOCHK website.

Whistleblowers can make a reporting within the scope as listed above to the General Manager of Group Audit of BOCHK, or directly to the Chairman of the Audit Committee of BOCHK. If the reporting concerns the General Manager of Group Audit of BOCHK, it should be made directly to the Chairman of the Audit Committee of BOCHK.

Whistleblowers may complete the “Whistleblowing Form” and submit via the following channels:

To the General Manager of Group Audit of BOCHK
Mailing address: Room A, 32/F, Bank of China Tower, 1 Garden Road, Hong Kong
(the envelope should be marked “to be opened by addressee only”)
Email address: whistle_blower@bochk.com

To the Chairman of the Audit Committee of BOCHK
Mailing address: Room A, 32/F, Bank of China Tower, 1 Garden Road, Hong Kong
(the envelope should be marked “to be opened by addressee only”)
Email address: acchairman@bochk.com

The Group accepts anonymous reporting.  An anonymous reporting, however, might lead to difficulties in conducting the investigation because the Group is not able to obtain further information from the whistleblower.  In this connection, whistleblowers are encouraged to provide their identities and contact information to facilitate further follow up.

The Group encourages whistleblowers to report in good faith. The Group shall keep the identity of the whistleblowers in strict confidence, unswervingly support their acts and protect their legitimate rights.

In the event of someone retaliating or seeking revenge against any whistleblowers who made reporting according to the System, the Group shall reserve the right to take necessary action against that person.

In the event of whistleblowers making unfounded reporting maliciously, the Group shall reserve the right to take necessary action against that person, so as to recover any damages or losses caused by the unfounded reporting.

1. Whistleblowers should keep his/her reporting confidential, including the facts, subject issues and parties involved, so as to avoid hindering the investigation.
2. Reporting and its related information are confidential information to the Group. Anyone handling or having access to the information shall strictly follow the legal requirements to protect the privacy, rights and interests of the whistleblowers and the parties being reported against. There should not be any unauthorized disclosure, or the Group shall hold the relevant persons accountable.
3. The Group might have to disclose the identity of the whistleblowers in the course of investigation. If that happens, the Group shall wherever possible notify the whistleblower concerned of the circumstance.
4. In case the investigation becomes criminal prosecution, the whistleblower concerned might have to provide evidence to the enforcement authorities directly and cooperate with the investigation. Besides, under certain circumstances, the Group is required to refer the reporting to relevant enforcement authorities without prior notice to the whistleblower or seeking his/her consent.

1. Upon receipt of reporting via channels under the System, the Group shall designate an officer-in-charge to promptly follow up on the case.
2. If the whistleblower has provided contact information, the officer-in-charge shall acknowledge receipt of the reporting to the whistleblower, as well as provide the investigation results to him/her upon completion of the investigation.
3. In case there is sufficient evidence to suggest that a reporting may involve criminal offence or corruption, the Group shall report the case to the enforcement authorities in accordance with the applicable laws of the relevant jurisdiction. Once the case is referred to the enforcement authorities, the Group shall provide full support to the authorities in relation to the investigation.