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Bridgewater Bancshares, Inc.
Accurate Accounting and Financial Controls
  • Accounting Irregularities and other Accounting, Internal Accounting Controls or Auditing Matters - Any potential accounting/control/auditing irregularity that may be a violation of law such as Sarbanes-Oxley, or other similar law and/or regulation, in any jurisdiction.
Business Practices
  • Business Practices
  • Securities Valuation
Client Assets, Records and Reviews
  • Client Disclosures and Records - Missing or incomplete client disclosure documents/records. Misuse of, or failure to protect, client assets.
Conflicts of Interest
  • Conflicts of Interest (between clients, suppliers and vendors, not between employees)
  • Gifts and Entertainment
  • Outside Affiliations / Employment
  • Personal Relationships
Doing Business with the Government
  • Government Contracts (including gifts & entertainment) - Violation of Company Policy and any law and/or regulation, in any jurisdiction, governing doing business with a government entity.
Fraud and Theft
  • Bribery or Kickbacks (nongovernmental)
  • Fraud or Illegal Activities
  • Theft
Human Resources
  • Abuse of Authority (inappropriate supervisory directions)
  • Alcohol/Drug/Substance Abuse in Workplace
  • Discrimination, Harassment, Equal Employment or Diversity Issues
  • Retaliation
Information and Records
  • Client Information and Data Protection (includes lost or compromised records and privacy matters)
  • Intellectual Property/Copyright Issues
  • Proprietary or Confidential Information
Legal and Regulatory Matters
  • Insider Trading
  • Money Laundering, Terrorist Financing, Know Your Customer Matters and OFAC
Media and Company Name
  • Company Name and Brand
  • Media or Public Relations
Physical Assets
  • Physical Assets - Unauthorized, unlawful or improper use of Company assets, including the unauthorized use of assets for other than legitimate business purposes.
Political Activities
  • Political Activities and Contributions (Personal and Organizational) - Employees’ personal political activities/contributions and the political activities/contributions of the Company.
Safety Matters
  • Physical Threats or Violence - Threat or violent act between employees and between employees and clients, suppliers or vendors.
Sales and Advertising
  • Sales, Marketing and Advertising Practices - False, misleading or deceptive advertising, sales or promotional materials; deliberate misleading messages, omissions, false claims about the Company’s or any competitor products.
Other
  • Other - If you feel that the definitions above do not describe the event, action or situation you are looking to report about, please use this header.