Privacy

Purpose of data processing

WHISTLEBLOWER PROTECTION ACT (HINSCHG)

In accordance with our obligation under the Whistleblower Protection Act (HinSchG), we have established a digital internal reporting office. The internal reporting office is part of our compliance management system.

Employees and business partners can use it to report suspected violations of laws and internal rules securely and confidentially. This is intended to promote the detection and prevention of significant breaches of rules and to avert considerable risks and damage.

SUPPLY CHAIN DUE DILIGENCE ACT (LKSG)

In accordance with the obligation under the Supply Chain Due Diligence Act (LkSG), a digital complaints procedure has been set up with the AdvoWhistle system. The complaints procedure is part of LkSG risk management.

Employees and business partners can use AdvoWhistle to report human rights and environmental risks and violations of human rights and environmental obligations in a secure and confidential manner. This is intended to promote the detection and prevention of material risks and violations and avert significant risks and damage.

Responsibility

The person responsible for processing your personal data is (hereinafter also referred to as the organisation):
Hubject Financial Services GmbH, EUREF-Campus 22, 10829 Berlin, Germany

As part of the processing of reports and follow-up measures to be taken, it may be necessary to pass on information on a reported incident to legal advisors or competent authorities.

If you have any questions regarding data protection, please contact our data protection officer Dr. Katharina Vera Boesche, Boesche Rechtsanwälte PartGmbB, Ohmstraße 7, 10179 Berlin, Germany, via mail katharina.boesche@boeschelaw.com. 

Technical Infrastructure

The internal reporting office is operated with the whistleblowing software AdvoWhistle of the technical service provider iComply GmbH, Große Langgasse 1A, 55116 Mainz, Germany.

Personal data and information entered into the whistleblower system will be stored in a database operated by the technical service provider in an ISO/IEC 27001 certified data centre. Access to the data is only possible for expressly authorised processors. End-to-end encryption of all data, multi-level password protection, technical and organisational measures and regular certification ensure that technical service providers, the data centre operator and other third parties have no access to the data.

Legal basis

The legal basis for the processing of reports that falls within the scope of the Whistleblower Protection Act is the legal obligation pursuant to Art. 6 para 1 c) DSGVO in conjunction with Section 10 Whistleblower Protection Act (HinSchG).

The legal basis for the processing of reports relating to breaches of internal rules is the overriding legitimate interest in the detection and prevention of significant breaches of rules and the associated prevention of risks and damage pursuant to Art. 6 para 1 f) DSGVO.

If a report concerns human rights or environmental risks or the violation of human rights or environmental obligations, the processing of personal data is based on Art. 6 para. 1 c GDPR in conjunction with Art. 8 LkSG. § 8 LkSG.

If a report relates to violations of money laundering regulations, the processing of personal data is based on Art. 6 para. 1 c) GDPR in conjunction with Art. 11a AMLA. § Section 11a GwG.

If a report relates to violations of banking supervisory regulations such as the German Banking Act (KWG) and regulations based on this as well as other provisions, compliance with which is monitored by the German Federal Financial Supervisory Authority (BaFin) as part of financial market supervision (e.g. CRR Regulation, Market Abuse Regulation, SSM Regulation, PRIIPS Regulation, Prospectus Regulation), the German Securities Trading Act (WpHG) and regulations based thereon, the processing of personal data within the scope of this whistleblower system is based on Art. 6 para. 1 c) GDPR in conjunction with the respective financial supervisory regulations.

Use of the reporting portal

The use of AdvoWhistle is on a voluntary basis. When submitting a report, AdvoWhistle collects the following personal data and information: 

• person providing the report: name (if you disclose your identity), contact details (if you provide them). 
• incident-affected persons: First name and surname, information about incidents and suspected violations of the law and rules.  
• witnesses and/or third parties named in the report (e.g. customers, suppliers, colleagues or business partners): first and last name, contact details.

File attachments may be sent when submitting reports and sending supplements. If anonymity is to be maintained, hidden personal data must be removed before sending. If this is not possible, only the text from these files can be copied into the digital report form, or printouts of these files can be sent to the postal address of the persons responsible.

Confidentiality

Incoming reports are received by a small group of expressly authorised persons and are always treated confidentially. The persons in charge examine the facts and, if necessary, carry out a further case-related clarification of the facts. Any person who has access to the data is obliged to maintain confidentiality.

Rights of data subjects

Persons whose personal data are processed (data subjects) have the right to receive, upon request and free of charge, information about the personal data stored about them, their origin and recipients and the purpose of the data processing. If we process your data on the basis of our legitimate interest, you have the right to object to the processing if there are legitimate grounds arising from your particular situation (right of objection). 

In addition, data subjects have the right to have inaccurate personal data corrected, the right to have personal data deleted, the right to restrict the processing of personal data, the right to data portability. 

Data subjects also have the right to complain to a supervisory authority. Data subjects may contact the supervisory authority of their usual place of residence or workplace for this purpose.

Retention period of data

WHISTLEBLOWER PROTECTION ACT (HINSCHG)

The documentation of reports and the personal data contained therein are generally deleted three years after the conclusion of the procedure. In individual cases, the documentation may be kept longer in order to fulfil the requirements under the Whistleblower Protection Act (HinSchG) or other legal provisions, as long as this is necessary and proportionate. A final assessment is also stored for documentation purposes.

OPTIONAL: SUPPLY CHAIN DUE DILIGENCE ACT (LKSG)

The documentation of reports and the personal data contained therein are generally deleted seven years after the procedure has been completed. The documentation may be stored for longer in individual cases in order to fulfil the requirements of the German Supply Chain Due Diligence Act (LkSG) or other legal provisions, as long as this is necessary and proportionate. A final assessment is also stored for documentation purposes.