Quarterly Compliance Attestation

Enter Your Name (First, Last)

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Borrowing and Loaning Money

Did you borrow money from a client (other than a relative) during the prior calendar quarter?

Yes

No

If yes, please describe the situation where you borrowed money.

Did you loan money to a client (other than a relative) during the prior calendar quarter?

Yes

No

If yes, please describe the situation where you loaned money.

Communications with the Public

Did you post content for business purposes during the prior quarter that was NOT pre-approved by compliance?

Yes

No

This includes (but is not limited to) a website, blog, LinkedIn, or other social media platform. It does not include personal posts or content.

If yes, please provide additional information the content posted.

Include details about the platform used, the URL, handle/username, description of content posted, frequency of posts, and approximate time spent on these activities per month.

Custody – Credentials

Aside from immediate family members, have you used a client’s credentials to access a financial account?

Yes

No

If yes, please provide additional information about your use of credentials.

Custody – Discretion Over Client Assets

Aside from immediate family members, have you been named to a role where you may have discretion over client assets?

Yes

No

If yes, please provide additional information about your role and relationship to the client.

Gifts

Have you reported all client gifts made during the prior quarter to compliance?

Yes

No

Not Applicable

Firm policy defines a third party as any third-party supplier, vendor, client, prospective client, or other person or organization with which MAMC has a business relationship. For purposes of reporting, logo items do not constitute a “gift.” If no gifts were given, select “Not Applicable”

If no, please describe the client gift and who received it.

During the prior quarter, did you give or receive any gift in excess of a $250 market value to or from any third party as defined by MAMC policy?

Yes

No

Firm policy defines a third party as any third-party supplier, vendor, client, prospective client, or other person or organization with which MAMC has a business relationship. For purposes of reporting, logo items do not constitute a “gift.”

If yes, please explain why you did not report the gift.

Insider Trading

As part of the business you conduct with the firm, you may be privy to information not yet available to the public. Based on this information, have you transacted any business for your or someone else’s benefit?

Yes

No

If yes, please describe how inside information was used for the transaction.

Marketing Activities

During the prior quarter, did you use marketing materials or engage in marketing or advertising activities without pre-approval from compliance?

Yes

No

Examples may include (but are not limited to): Sharing a post that advertises McLean’s (or RR’s) services, creating and using materials intended for prospective clients and clients without disclosures, encouraging someone to review McLean or RR via third-party rating services, or providing compensation for new business (ex: referrals or endorsements).

If yes, please provide additional information about the marketing activities.

Off-Channel Communications

During the prior quarter, did you use outside communication channels to correspond with clients or with other employees regarding the firm’s business activities?

Yes

No

Examples of “off-channel communications” include (but are not limited to) personal email, text messages, social media, or other unsupervised communication platforms.

If yes, please provide additional information about the off-channel communications.

Personal Accounts

Have you disclosed all personal securities transactions to Compliance?

Yes

No

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.

If not, please provide details about your personal securities transactions.

Public Appearance

Have you conducted a seminar, given a media interview, or made any other public appearance that has not been pre-approved or otherwise reported to Compliance?

Yes

No

If yes, please provide additional information about the public appearance(s).

Publicly Traded Companies

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

Yes

No

Please explain who is employed by the publicly traded entity, the entity involved, and your relationship to that person.

Political Contributions

During the previous quarter, did you make a political contribution to a state or city official?

Yes

No

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

Yes

No

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

Private Investing

Did you make a private securities investment away from the firm during the prior quarter, such as in a hedge fund, private placement, private company, etc.?

Yes

No

If yes, please provide information about the investment you made.

Protecting Client Information

Have you saved all files from your Downloads folder and any other local folder to Sharefile?

Yes

No

Have you deleted files from your hard drive and emptied your recycle bin after saving them online?

Yes

No

Files should be deleted from your hard drive to protect non-public information.

Regulatory Updates

Have you informed Compliance of any changes to your personal information?

Yes

No

This includes (but is not limited to) the following: • Professional designations • Personal residence changes • Outside business activities • Any information reported on Form U4 • Conflicts of interest

If not, please provide information about the change to your personal information.

Website

During the prior quarter, did you maintain a blog or website not owned by the company?

Yes

No

If yes, has this already been disclosed to Compliance?

Yes

No

If not, please provide the location/site/URL of the website or blog you maintain.

Report Compliance Concerns

Have you observed any compliance concerns you have not reported to Compliance?

Yes

No

You are responsible for reporting potential violations of the firm’s compliance policies or industry regulations to the CCO.

Please provide details about your compliance concern(s).

Confirmation

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

Yes

No

If not, what has prevented you from answering accurately?