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Appian Capital Advisory – Whistleblowing

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SPEAKING UP (WHISTLEBLOWING)

Appian is committed to the highest standards of integrity, transparency and accountability across every jurisdiction in which we operate. We encourage anyone connected with our business to speak up where they know about, or have reasonable grounds to suspect, misconduct or wrongdoing, and we are committed to ensuring they can do so safely, confidentially and without fear of retaliation.

This page summarises how to raise a concern. It should be read alongside our full Whistleblowing Policy (version 1.0, approved by the Board, April 2026), which is communicated to all staff and available from the Compliance function on request.

References to ‘Appian’ on this page include Appian Capital Advisory LLP, Appian Capital Advisory Limited and their respective affiliates, as defined in the Whistleblowing Policy.

WHAT YOU CAN REPORT

You can raise a concern about any actual or suspected wrongdoing, including:

  • Breaches of applicable laws, regulations or internal policies
  • Fraud, bribery, corruption, money laundering or terrorist financing
  • Market abuse or misuse of confidential information
  • Danger to health, safety or the environment
  • Bullying, harassment, discrimination, sexual misconduct or other non-financial misconduct
  • Any deliberate concealment of the above

You do not need proof. If you have a genuine, reasonable belief that something is wrong, that is enough to raise a concern.

HOW TO RAISE A CONCERN (INTERNALLY)

You can contact Appian’s Chief Operating Officer and General Counsel in confidence:

  • Name: Mathias J. Iranzo Conde, Chief Operating Officer and General Counsel
  • Email: [email protected]
  • In writing: Office #3511, 35th Floor, Al Maqam Tower, ADGM Square, Al Maryah Island, Abu Dhabi, UAE

Concerns may be raised anonymously. Anonymous reporting can make follow-up and feedback more difficult, so we encourage you to share your identity or at least a means of contact where you can — but we would always rather receive an anonymous report than have a concern go unreported.

If your concern relates to, or you would prefer not to raise it with, the Chief Operating Officer and General Counsel, you may instead contact Michael W. Scherb, Founder and Chief Executive Officer, at [email protected] or use the independent external channel below.

HOW TO RAISE A CONCERN (INDEPENDENT EXTERNAL CHANNEL)

Appian has engaged an independent external firm through which concerns may be raised, and an independent review initiated, outside Appian’s internal channels: Jawan Partners — Shati Hossain, [email protected]. Reports made through this channel are received independently of Appian in the first instance.

HOW TO RAISE A CONCERN (EXTERNALLY)

Nothing in this page or the Whistleblowing Policy prevents, restricts or discourages anyone from reporting a concern directly to a relevant regulator or authority. You can contact:

  • Financial Conduct Authority (FCA) — United Kingdom
    Telephone: 020 7066 9200 (Monday to Friday, 10am–3pm)
    Email: [email protected]
  • Online report form: org.uk/firms/whistleblowing/report-form
  • Financial Services Regulatory Authority (FSRA) — Abu Dhabi Global Market (ADGM) — contact details available at adgm.com
  • S. Securities and Exchange Commission (SEC) or other relevant U.S. regulators — tips, complaints and referrals portal: www.sec.gov/tcr
  • Dubai Financial Services Authority (DFSA) — Dubai International Financial Centre (DIFC) — regulatory concerns portal: dfsa.ae
FREE INDEPENDENT ADVICE

Protect is an independent UK whistleblowing charity that offers free, confidential advice to anyone thinking about raising a concern: 020 3117 2520 · protect.org.uk

CONFIDENTIALITY AND PROTECTION FROM RETALIATION

We treat the identity of anyone who raises a concern, and the details of their report, as confidential, subject to applicable legal and regulatory requirements. Retaliation of any kind against a person who raises a genuine concern (even if it is not ultimately substantiated), or who assists an investigation, is strictly prohibited and will be treated as a disciplinary matter.

These commitments operate alongside statutory protections. In the UK, workers who make a protected disclosure are protected from detriment and dismissal under the Public Interest Disclosure Act 1998, as incorporated into the Employment Rights Act 1996. Comparable protections apply under the ADGM Whistleblower Protections Regulations 2024 and Part 9A of the DIFC Operating Law (DIFC Law No. 7 of 2018, as amended), and, in the US, under section 21F of the Securities Exchange Act of 1934 for those reporting possible securities law violations to the SEC. Nothing in this page, the Whistleblowing Policy or any obligation owed to Appian prevents anyone from communicating directly with a regulator or limits these statutory rights.

 

Page last updated: 13 July 2026