Non US Resident
Securities Commission

PROTECTION FOR WHISTLEBLOWERS

At SMEC, safeguarding whistleblowers and maintaining confidentiality is paramount. If you choose to disclose information through our Complaints form online, you have the option to (1) become eligible for a whistleblower award and/or (2) receive enhanced confidentiality protections, regardless of your interest in an award. Simply check the designated box when submitting information via the complaints form to indicate your preference. Rest assured, by utilizing the complaints form, you automatically qualify for award eligibility.

All tips, complaints, and referrals received by SMEC are treated with utmost confidentiality and are kept strictly nonpublic. Unless expressly authorized by statute, rule, or law, we do not disclose such information to third parties. As part of our whistleblower program, we go even further to provide additional confidentiality protections, aligning with regulations that safeguard the identity of whistleblowers.

It's important to note that if you opt to submit information anonymously under the whistleblower program—without revealing your identity or contact details—you must be represented by an attorney and provide their contact information for eligibility for a whistleblower award.

For further inquiries or information, please don't hesitate to reach out to the Office of the Whistleblower at wb@ussmec.org. Your confidentiality and protection are of utmost importance to us.

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