Examples of Improper Activity in a sentence
Handling of Reported Improper Activity The Firm will take seriously any report regarding a potential violation of Firm policy or other improper or illegal activity, and recognizes the importance of keeping the identity of the reporting person from being widely known.
Incomplete Improper Activity Reports may prevent the Compliance Officer and/or Firm management to properly investigate the report and may therefore not necessarily afford the Supervised Person the protections of this policy.No Retaliation PolicyIt is the Firm’s policy that no Supervised Person who submits a complaint made in good faith will experience retaliation, harassment, or unfavorable or adverse employment consequences.
Concerns about improper activity by the Compliance Officer or his or her staff may be reported to the Firm’s management using an Improper Activity Report but delivered to the office of the Chief Operating Officer.
Anonymous ReportingSupervised Persons may report suspected improper activity to the Compliance Officer by filing an Improper Activity Report as provided in Exhibit D to this Manual or by calling the Legg Mason whistleblower hotline on 1800 881 011 .
An Improper Activity Report must be complete and provide detail as to the person or persons involved, the specific nature of the suspected improper activity and the time or times the activity was to have taken place.