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Anti-Money Laundering Policy

It is the policy of the firm to prohibit and actively prevent money laundering and any activity that facilitates money laundering or the funding of terrorist or criminal activities by complying with all applicable requirements under the Bank Secrecy Act (BSA) and its implementing regulations.

Federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account. When you open an account, your firm must collect information that includes your name, address, date of birth, identification number (one or more of the following: social security number; taxpayer identification number; passport number and country of issuance; alien identification card number; government‐issued identification showing nationality, residence, and a photograph of you). A corporation, partnership, trust, or other legal entity may need to provide other information such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement, or a trust agreement. In addition, The United States Department of the Treasury, the United States Securities and Exchange Commission, and the Financial Industry Regulatory Authority ("FINRA") currently require you to provide additional information, such as net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.

If you don't provide the information requested or if your identity cannot be verified, your firm may be unable to open an account or process transactions for you. If your firm has already opened an account for you, it may be closed.