New Hire Compliance Attestation

Used to capture new hire compliance attestations

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Enter Your Name (First, Last) *

Enter your email address *

Compliance Manual

Have you read and understood the McLean New Employee Compliance Training Document including the Manual, Code of Ethics, and Privacy Policy? *

Yes

Political Contributions

Have you contributed to a city or state politician in the past two years? *

Yes

If yes, were any made to someone you could not vote for?

Yes

Please describe to whom the contribution was made and the amount.

Communication with the Public

Do you post content publicly for business purposes? This includes (but is not limited to) a website, blog, LinkedIn, or other social media platform. It does not include personal posts or content. *

Yes

If yes, please provide information about the platform used, the URL, handle/username, description of content posted, frequency of posts, and approximate time spent on these activities per month.

Publicly Traded Companies

Do you or a member of your immediate family serve in a leadership role at any publicly traded entity? *

Yes

If yes, please explain who is employed with the publicly traded entity, the entity involved, and your relationship to that person.

Off-Channel Communications

All business and client-related communication must happen within the firm’s internal, supervised systems. Do you understand you are prohibited from using personal email, texting, or messaging platforms to correspond with clients regarding the firm’s business activities? *

Yes

Personal Securities Transactions Reporting

MAMC’s Code of Ethics requires that each Supervised Person disclose information related to personal securities transactions. Outside investment accounts over which you have control or beneficial ownership that can hold covered securities must be reported. This includes spouses and all dependents of the Supervised Person’s household. Have you disclosed all personal securities transactions to Compliance? *

Yes

If not, please provide information about your outside accounts.

Confirmation

Do you attest that you have answered all questions accurately to the best of your knowledge? *

Yes

If you are human, leave this field blank.

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