Compliance and Risk Reporting Line

NYU Shanghai is committed to operating consistent with applicable laws, regulations and NYU Shanghai policies and procedures. In accordance with the Compliance Complaint Policy, NYU Shanghai encourages the good faith reporting of misconduct or compliance and risk issues identified by any member of the NYU Shanghai community or any person associated with or doing business with NYU Shanghai. Also, if you have questions regarding compliance and risk concerns, NYU Shanghai policies, or best business practices, we encourage you to raise these questions to the Compliance and Risk Management Department in the manner described below.  


Examples of matters that may be reported include: 


•    Code of Ethical Conduct Violations
•    Conflicts of Interest
•    Financial and Business Integrity Issues
•    Misuse of University Property or Assets
•    Research Related Issues
•    Export, Import and Trade Issues
•    Employment Issues
•    Workplace Safety
•    Operational Risks

 

Reports can be made as follows:

(i)    To a supervisor, the Compliance and Risk Management Department, or the General Counsel; or
(ii)    Through the NYU Shanghai Compliance and Risk Reporting Line by submitting an online report here; and/or
(iii)    By emailing nyush.compliance-risk@nyu.edu

These reporting services are available 24-hours a day, seven days a week. Reports can be submitted in Chinese and/or English. Questions, complaints or concerns can be reported through the online system (option (i) above) anonymously. You must provide sufficient information about the nature of the conduct and participants to enable a review to be undertaken. If you choose to remain anonymous, your anonymity will be maintained to the fullest extent possible subject to applicable law. All reports will be handled by the appropriate university officials promptly, seriously and fairly, regardless of the reporting approach you take. 


NYU Shanghai policy protects anyone who files a report from retaliation.  No one who in good faith files a report or who cooperates in good faith with an NYU Shanghai investigation of a complaint will be subject to intimidation, harassment, discrimination, or other retaliation or, in the case of employees, adverse employment consequence.

 

合规与风控热线


上海纽约大学致力于在日常运营中遵守适用的法律法规和上海纽约大学的规章制度。根据合规投诉制度,上海纽约大学鼓励上海纽约大学社区成员或其他任何与上海纽约大学关联或存在业务往来的人员对所发现的不端行为或合规与风险问题进行善意报告。此外,如您遇到有关合规与风险方面的疑虑、对上海纽约大学制度或最佳运营做法的疑问,我们鼓励您通过下述方式向合规与风险管理部门提出。


可报告的事例如下:


•    违反道德行为准则
•    利益冲突
•    财务和商业诚信问题
•    滥用大学资产或财产
•    研究相关的问题
•    进出口和贸易问题
•    雇佣问题
•    工作场所安全问题
•    运营风险

 

可通过如下方式提交报告:

(i)    可向报告人的上级、合规与风险管理部门、总法律顾问提出;或
(ii)    通过上海纽约大学合规与风控热线于此在线提交;和/或
(iii)    发送电子邮件至nyush.compliance-risk@nyu.edu


报告服务时间为每周7天,每天24小时。报告语言可以为中文和/或英文。您的问题、投诉或疑虑可于在线系统(上述方式(ii))匿名提交。为保证审查顺利开展,您应在报告中提供相关行为及人员的充足的信息。如果您选择匿名,您将得以在最大可能范围内保持匿名,并取决于适用的法律规定。无论您采取何种方式提交报告,所有的报告都将得到大学合适的工作人员及时,严肃且公允的处理。


上海纽约大学的政策保护任何人不因其报告行为而遭受报复。善意报告或友好配合上海纽约大学调查某一项投诉事项的任何人,均应免受恐吓、骚扰、歧视或其他报复行为,或对上海纽约大学雇员而言免于遭受不利的职业后果。