Platinum Financial Planning Employee Handbook

30. Gifts and hospitality - It is the aim of the Company to ensure high levels of customer and client satisfaction. Occasionally, satisfied customers, clients or other third parties may seek to reward employees with gifts. Whilst the Company has no desire to stop deserving employees receiving a small token of gratitude or appreciation from a customer or client, we do recognise that there is the potential for abuse. In addition, some suppliers or contractors may offer ‘reward schemes’ which allow employees to obtain free gifts or discount vouchers for ordering services or products on behalf of the Company from that supplier or contractor. Obviously, the Company must ensure that its suppliers or contractors are competitive and that its employees are acting in the best interests of the Company when using a particular supplier or contractor. The Company does not believe that it is appropriate for employees to accept anything of greater value than small tokens of appreciation from customers, clients, suppliers, contractors or from any other person or organisation with which the Company has, or might have, business connections. This is because it is important to ensure that no employee acts in any way that is inconsistent with the integrity of the business by accepting a gift in circumstances where it could influence, or be seen to influence, that employee’s business decisions or actions. For the purposes of this policy, a ‘gift’ is deemed to be any payment or item given to an employee on an apparent ex gratia basis by any party in connection with the employee’s employment by the Company. Full details of our Receipt of Gifts Policy can be found online or obtained from the Operations Manager. 31. Protecting our Clients and Platinum Professional Standards - At Platinum, we expect you to have the highest ethical standards whilst you are working for us and in carrying out your role. This includes following any required legislation, our people policies and our policies on business conduct as well as abiding by the law and financial services regulation generally. We need you to act professionally, honestly and with integrity in all your dealings with your colleagues, our customers and anyone else that you have contact with as part of your role with us. 32. Business Integrity - At Platinum, we expect the highest standards of you when carrying out your role, including following all the relevant legislation and our own internal policies on business conduct. We expect you to always act professionally, honestly and ethically when dealing with your colleagues and our customers and with anybody else that you have contact with as part of your role with us. You should let your manager know if you’re required to attend court as a result of being arrested or charged with a criminal or statutory offence or have any economic or terrorism related sanctions against and you must notify your manager immediately of any actual convictions received. The same is true for any sanctions or restrictions placed on your financial affairs. Any such circumstances may impact on your on-going employment with us. However, we will always look at all the circumstances of each situation and follow a fair process, including listening carefully to your own views so that we make a decision that is fair and balanced. 33. Conflicts of Interest - A conflict of interest is where an individual or the company they work for is confronted with choosing between the duties and demands of their position and their own private or business interests. A conflict of interest may arise where an individual has a direct or indirect personal interest in a transaction, contract, or proposed contract. This could occur because of private business dealings, personal relationships or other activities outside the course of your employment with Platinum, which could be perceived to influence decisions.


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