What is EthicsPoint?
EthicsPoint is a confidential reporting tool managed by a third-party vendor, NAVEX, which supports Capital One’s Corporate Ethics Program. The EthicsPoint system allows individuals to report suspected violations of law, regulation or Capital One policy, including our Code of Conduct, or any other concern.
What is the role of the Corporate Ethics Program?
Capital One’s Ethics Office is responsible for administering the Code of Conduct and is available to answer your questions and provide guidance related to the Code. The Ethics Office also manages the Ethics Line and facilitates the investigation of all complaints.
What is the Code of Conduct?
At Capital One, we share a proud commitment to upholding the highest standards of ethical and professional conduct. Our Code of Conduct reflects our core values of Excellence and Do the Right Thing.
Our Code memorializes Capital One’s commitment to exceed the expectations set by applicable law and regulation, and to earn our reputation for honesty, fair dealing, and integrity every day. We owe it to one another, our customers, and the communities we serve.
When should I report potential misconduct?
Doing the right thing includes speaking up when we believe someone has engaged in conduct that violates the law or our Code. We strongly encourage all Capital One associates to immediately report any suspected or potential violations of law, our Code, or Company policy or other conduct that conflicts with our values. Associates may report concerns to their manager, Associate Relations (AR), or Ethics and Investigations (E&I).
You may also report any concerns through our hotline, EthicsPoint, which is managed by a third-party. Such reports may be submitted to EthicsPoint by phone or via the web and may be submitted anonymously. Regardless of whether you decide to remain anonymous, all reports will be treated confidentially. Finally, concerns about Capital One's accounting, internal accounting controls or auditing matters may be submitted in writing to the Lead Independent Director.
Raising concerns within Capital One does not prevent you from reporting the same concerns to law enforcement or the relevant government entity if there is a suspected or potential violation of law. If you are not sure whether to report a concern, seek guidance from your manager, AR, E&I, or your line of business Legal representative.
To ask a question or submit a complaint related to Capital One products or services please visit our Customer Support page.
What if I have a question or complaint about Capital One's products or services?
To ask a question or submit a complaint related to Capital One products or services please visit our Customer Support page.
Why should I submit a complaint?
As members of the Capital One community, we must all take responsibility for creating an ethical culture. All unethical conduct, at any level, ultimately hurts the company and our associates. If you believe someone has engaged in conduct that violates the law or runs afoul of our Code of Conduct or related policies, standards, and procedures, it is your duty to report it.
How do I submit a complaint?
You may call the EthicsLine hotline number associated with your country and speak with a NAVEX call center representative or submit it via the EthicsPoint website.
May I file an anonymous complaint?
While complaints may be submitted anonymously (where local law allows), we encourage all reporters to provide contact information to assist Capital One in investigating all complaints. If you wish to maintain your anonymity, you may provide an unidentifiable e-mail address. Please understand that a full investigation may not be possible if an anonymous complaint lacks sufficient information.
Will my manager know if I file a complaint against them?
EthicsPoint is designed so that implicated parties are not notified or granted access to reports in which they have been named.
What happens after I submit my complaint?
All complaints are submitted directly to EthicsPoint’s secure server to protect their content. These reports are then shared only with specific individuals within Capital One who are charged with evaluating the complaint and, where appropriate, conducting an investigation.
How can I follow up on a complaint after submission?
When you file a complaint, you will receive a unique Report Key and Password that you can use to access the original report through the website or the call center. Once you access the report, you will be able to add more detail or answer any questions posed by a company representative to help resolve the complaint. We strongly encourage that you return to the site to respond to any questions or requests and ensure that Capital One can fully investigate your complaint.