Fintech Toolkit · Whistleblower & Ethics Dashboard

Whistleblower & Ethics Hotline Toolkit

A 13-module operator dashboard for fintech whistleblower and ethics-hotline programmes. Programme framework, intake channels, anonymity protocol, triage, investigation methodology, anti-retaliation framework, SOX 806 / Dodd-Frank compliance, board reporting, vendor management, training, audit, code-of-conduct alignment, committee charter. Single HTML. Runs offline. Owned forever.

"The whistleblower programme that goes to court is the one where the firm investigated the conduct, found nothing, and then quietly retaliated. Build the programme assuming it will be examined under oath — because the worst ones always are."

What's inside

Programme Framework

Statutory floor · governance · 3 lines

Intake Channels

Hotline · web · email · in-person · third-party vendor

Anonymity Protocol

Anonymous reporting · two-way comms · custodial

Triage & Severity

Live JS · 5-axis · band → escalation · counsel-led

Investigation Method

Counsel-led · interview discipline · evidence preservation

Anti-Retaliation

Policy · monitoring · personnel-decision quarantine

SOX 806 / Dodd-Frank

Statutory frameworks · external reporting · attorney-client

Board Reporting

Audit Committee · severity-tiered · case anonymisation

Vendor Management

External hotline vendors · DD · contractual standards

Training

All-hands annual · manager-specific · scenario drills

Code of Conduct

Linkage · attestation · reporting obligation

Programme Audit

Annual · sample · retaliation pattern test

Committee Charter

CCO chair · counsel · audit committee · cadence

Built for

CCOs / Heads of Compliance owning the ethics hotline
General Counsel running internal investigations
HR partners co-handling personnel-related reports
Audit Committee chairs receiving programme reporting
Independent ethics / investigations consultants

Format + licence

Single HTML file. Runs offline. Editable. Print-friendly.
1 working JS calculator (whistleblower triage / severity scoring).
Single-organisation licence. Methodology output yours to keep.
14-day satisfaction guarantee.

Owned forever · paid once

$497 USD

Buy now · $497

Stripe checkout. Single HTML file emailed within 1 business hour.

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