Outside Business Activity Approval Form

Per the Falcon Wealth Employee Handbook

5.5 Outside Employment

Outside employment that creates a conflict of interest or that affects the quality or value of your work performance or availability at Falcon Wealth Planning, Inc. is prohibited. The Company recognizes that you may seek additional employment during off hours, but in all cases, expects that any outside employment will not affect your attendance, job performance, productivity, work hours, or scheduling, or would otherwise adversely affect your ability to effectively perform your duties or in any way create a conflict of interest. Any outside employment that will conflict with your duties and obligations to the Company should be reported to your managers. Failure to adhere to this policy may result in discipline up to and including termination.

As a current Falcon Wealth employee, I agree to comply with the Falcon Wealth Policy regarding outside and/or secondary employment. I understand the conditions under which I am permitted to secure outside and/or secondary employment. I will not be employed by a vendor or supplier whereby it would create a conflict of interest. I further understand that I am prohibited from conducting work for this outside and/or secondary employment during working hours. Although this employment may be initially approved, the department director reserves the right to rescind it at a later date.

Per Falcon Wealth Policies and Procedures:

Outside Business Activities

Supervised persons shall not engage in any outside business activity without prior firm approval.

Review and Approval by CCO

Supervised persons of FWP are required to report outside business activities to the CCO for review and approval prior to engaging in these activities (see Sample 3). The CCO will review these activities to determine if they create a conflict of interest with the supervised persons’ ability to act in the best interest of the firm’s customers. If it is determined that a conflict does exist, the CCO will determine if the conflict can be appropriately mitigated by disclosure or other means.

The supervised person shall provide at least the following information to the CCO regarding the activity:

Name, address, contact information for the person or entity paying the compensation;
Complete description of the activity;
Amount of compensation

Disclosure on Appropriate Documents

Individual Form U4s and Form ADV Part 2Bs will be updated as needed for outside business activities. It is the responsibility of the individual supervised person and the CCO to make sure these documents are updated promptly in the event disclosure is required.

Certain outside business activities of supervised persons may require firm documents to be updated as well. If updates are required for Form ADV Part 1A, Part 1B, Part 2A, and / or Part 3, then the CCO will be responsible for updating these documents when needed.

INSTRUCTIONS:

This form is to be completed and signed by an employee to identify whether s/he has outside and/or secondary employment and whether department permission has been granted. This signed form, whether approved, denied or not applicable, will be retained in the department's Human Resources Office in the associate's personnel file.

I have discussed the regulations pertaining to outside and/or secondary employment with the Human Resources Department.*

I do have outside and/or secondary employment as described above.I do not have any outside and/or secondary employment.

I have discussed the regulations pertaining to outside and/or secondary employment with the Human Resources Department.*

I do have outside and/or secondary employment as described above.I do not have any outside and/or secondary employment.

Name*

First NameLast Name

Email*

example@example.com

Department*

Job Classification*

Office Location*

Ontario, Chicago, Irvine, etc...

Work Phone*

PROSPECTIVE OR CURRENT SECONDARY EMPLOYER INFORMATION

Name of Employer*

Address*

Phone*

Contact Person*

Nature of Business / Organization*

Hours / Schedule*

	Hours
Sunday
Monday
Tuesday
Wednesday
Thursday
Friday
Saturday

Percentage of Compensation Based on Income*

E.G. 2% of Base Pay

Duration of Employment*

Description of Duties*

IF SELF-EMPLOYED:

Are you self-employed?*

Yes, I am Self-EmployedNo, I am not Self-Employed

Name of Company*

Nature of Business:*

Duration of Self-Employment*

Percentage of Compensation Based on Income*

E.G. 2% of Base Pay

Description of Duties:*

Employee Signature*

Date