Whistleblowing Policy

1. Purpose

Montrock encourages employees, contractors and other eligible persons to report suspected wrongdoing in good faith.

2. Reportable Matters

Concerns may include fraud, bribery, AML/CFT breaches, sanctions evasion, market abuse, data misuse, retaliation, accounting irregularity, regulatory breach or deliberate circumvention of controls.

3. Reporting Channels

The Company maintains confidential channels to Compliance and, where appropriate, a Board-level escalation route. Whistleblowing reports may be submitted to whistleblowing@mont-rock.com.

4. Confidentiality and Non-Retaliation

Reports are handled as confidentially as reasonably possible. Retaliation against a good-faith reporter is prohibited.

5. Investigation

Reports are triaged according to seriousness, conflict and legal obligations. Investigators must be sufficiently independent from the subject of the allegation.

6. Malicious Reports

Knowingly false or malicious reports may result in disciplinary consequences; an allegation that is not substantiated is not, by itself, evidence of bad faith.

Contact and Regulatory Information

Montrock Ltd is incorporated in Mauritius under Company No. 231276 GBC and is regulated by the Financial Services Commission, Mauritius (FSC) as an Investment Dealer (Full Service Dealer, Excluding Underwriting), FSC Licence No. GB25205688. Registered office: Suite 201, Level 2, The Catalyst, 40 Silicon Avenue, Cybercity, Ebene 72201, Mauritius.

Compliance enquiries: compliance@mont-rock.com

Whistleblowing: whistleblowing@mont-rock.com

Website: https://mont-rock.com

Risk warning: Transactions in financial instruments, particularly leveraged or derivative instruments where offered, involve significant risk and may result in substantial loss. Nothing on the website constitutes a guarantee of profit or investment performance.