Platinum Financial Planning Employee Handbook

34. Other Employment and Outside Interests - We understand that you may have or want an additional job to your one with Platinum. It is important that these jobs do not create a conflict of interest or have a negative impact on your performance. We also need to be sure that your combined working hours do not put you under unmanageable mental or physical strain. You should talk to your line manager about any plans you may have before you commit to anything, including where you plan to set up your own business or become self-employed. While we will never unreasonably stop you from working elsewhere, we will not agree to anyone working for one of our direct competitors or one of our suppliers or agents. We always encourage our people to have a broad range of interests and activities outside of their work as it helps to contribute to communities and gain valuable skills and experiences. (For Financial Consultants/Mortgage Consultants) When you join Platinum, you must disclose any existing Outside Business Interests to enable an assessment to be made as to whether a conflict of interest exists. To do this you must complete an ‘outside business interest’ form and submit it to your line manager and appropriate Tenet contact. 35. Intellectual Property - In the course of your work with us, you may create certain works or solutions etc. that could have a broader use than just for Platinum. These may amount to what is known as ‘Intellectual Property’ or ‘IP’ for short and includes inventions, design or technical know-how. If that is the case, you must tell us about and keep confidential all such IP and by agreeing to employment with us, you acknowledge that the Company have rights of ownership for any IP created. Any decisions about the protection or use of any such IP are for us to make as a Company. 36. Meeting the Needs of Our Regulators - Platinum Financial Planning are an appointed representative of Tenet Connect Limited, who are authorised and regulated by the Financial Conduct Authority. So, in addition to our company rules you will also be bound by the principles and rules of these regulators. These rules are in the regulatory handbooks (which can be found on the FCA and PRA websites) and it is essential you follow both the PRA’s and FCA’s rules and guidelines for your job. Most people’s work at Platinum Financial Planning is governed by the FCA who look after ‘conduct’ in the financial sector (e.g. how we design, sell and market our products and how we deal with our customers) and in all roles you are expected to act in an appropriate and ethical manner. The PRA is responsible for matters such as the financial stability of larger companies and so are more specific to certain roles and you’ll have been told directly if your role means you need to follow any specific rules set by them. Treating Customers Fairly (TCF) is a key FCA initiative which makes sure we ‘pay due regard to the interests of our customers and treat them fairly’ which is a key priority of the regulator and if your role involves looking after our customers in any way you’ll be made aware of the specific procedures that are in place to make sure that we do everything to meet our obligations in this area. There are specific roles within Platinum which are deemed regulated. Thank you for taking the time to read this Employee Handbook. We hope that you find this a useful reference point throughout your time with Platinum. If you have any questions at all in relation to this, please speak to your direct line manager in the first instance. Together we can make Platinum a great experience for our colleagues and clients, using our insight to empower and improve lives.

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