Annual Compliance Attestation

This Attestation is required as a condition of continued association with Fiduciary Capital Management LLC (“FCM” or the “Firm”), a registered investment adviser.

Policies and Procedures

I acknowledge that I have read and understand FCM’s Policies and Procedures, including its Compliance Manual and Written Supervisory Procedures (“WSPs”). I further acknowledge my responsibility to comply with all applicable provisions of the Investment Advisers Act of 1940 and related SEC rules and regulations.

This includes, but is not limited to, policies governing:

  • Outside Business Activities
  • Personal Trading / Employee Brokerage Accounts
  • Private Securities Transactions
  • Insider Trading
  • Continuing Education
  • Anti-Money Laundering

I agree to adhere to all Firm policies and regulatory requirements. Failure to comply may result in disciplinary action, including sanctions, fines, or termination.

Employee Brokerage Accounts (Personal Trading)

I attest that I will provide duplicate brokerage statements to the Firm by submitting them to compliance@fiduciarycm.com or uploading them as directed.

I will notify and obtain approval from the Firm prior to opening any new brokerage account, or within seven (7) days of opening such account.

I acknowledge that, as an “Access Person,” I am required to report all personal securities holdings and transactions, including accounts held by related persons (e.g., spouse, dependents, or accounts under my direct or indirect control), and that the Firm is required to review such reports.

Outside Business Activities (OBA) / Ownership / Directorships

I attest that I have fully disclosed all outside business activities and employment, if any, and that such activities are accurately reflected in my regulatory filings, including Form U4 (if applicable).

I further attest that I currently engage only in approved outside business activities and that no material changes have occurred within the past twelve (12) months, unless previously disclosed and approved by the Firm.

Continuing Education

I acknowledge my responsibility to complete all required continuing education and Firm-mandated compliance training in a timely manner.

Private Securities Transactions

I attest that I have disclosed all private securities transactions and have obtained prior written approval from the Chief Compliance Officer (“CCO”) before engaging in any such activity.

Anti-Money Laundering (AML) Program

I acknowledge that I have read and understand the Firm’s AML Program and my responsibilities under the USA PATRIOT Act. I agree to participate in required training and to follow Firm procedures designed to detect and prevent money laundering and suspicious activities.

Form CRS Acknowledgment

I acknowledge receipt of FCM’s Form CRS and understand my obligations in communicating services, fees, and conflicts of interest in a clear and compliant manner.

Client Disclosure Delivery Acknowledgment (ADV, Form CRS, Privacy Policy)

I acknowledge and understand my obligation, as an Investment Adviser Representative (“IAR”) of FCM, to ensure that all required client disclosures are delivered in accordance with applicable SEC rules and Firm policies.

Specifically, I attest that:

  • I will deliver, or ensure delivery of, the Firm’s Form ADV Part 2A (Firm Brochure) and Part 2B (Brochure Supplement) to each client prior to or at the time of entering into an advisory agreement;
  • I will deliver the Firm’s Form CRS (Client Relationship Summary) to retail clients in accordance with SEC requirements;
  • I will provide the Firm’s Privacy Policy (Regulation S-P notice) at the time of establishing a client relationship and as otherwise required;
  • I will document and maintain evidence of delivery in accordance with the Firm’s books and records requirements under SEC Rule 204-2;
  • I will promptly deliver updated brochures, supplements, or other required disclosures when material changes occur or as otherwise required by the Firm.

Annual ADV Delivery (“Offer to Deliver”)

I understand that FCM is required to provide clients with a summary of material changes to its Form ADV and to offer to deliver the updated Firm Brochure (Form ADV Part 2A) at least annually.

I attest that:

  • I will ensure clients are provided with the Firm’s Annual ADV Update Summary (or amended brochure) within the required timeframe;
  • I will honor and promptly fulfill any client request for a full copy of the updated Form ADV Part 2A;
  • I understand that failure to comply with annual delivery requirements may constitute a violation of SEC regulations and Firm policy.

Electronic Delivery and E-SIGN Acknowledgment

I acknowledge that FCM may deliver required disclosures, reports, and communications electronically.

I attest that:

  • I will obtain and document client consent for electronic delivery in accordance with the Electronic Signatures in Global and National Commerce Act (E-SIGN Act) and Firm policies;
  • I understand that electronic delivery must provide evidence of actual delivery or access (e.g., email confirmation, system tracking, or client acknowledgment);
  • I will ensure that clients have the ability to access, review, and retain electronic documents;
  • I will follow Firm procedures for maintaining records of electronic delivery in compliance with SEC Rule 204-2;
  • I understand that, absent proper consent or evidence of delivery, paper delivery may be required.

Form U4 / Regulatory Disclosure Review

I attest that I have reviewed my Form U4 (if applicable) and confirm that all information is current, accurate, and complete. I understand my obligation to promptly notify the Firm of any changes requiring amendment.

Political Contributions (Pay-to-Play Rule)

I acknowledge that SEC Rule 206(4)-5 governs political contributions and prohibits certain “pay-to-play” activities.

I attest that I have disclosed all political contributions and obtained prior approval where required.

Gifts and Entertainment

I attest that I have disclosed all gifts and entertainment provided to clients or vendors and obtained prior approval where required.

I understand that gifts must not exceed $100 per individual per year unless otherwise approved by the Firm.

Code of Ethics

I acknowledge that I have read, understand, and will adhere to FCM’s Code of Ethics, including placing client interests first and avoiding conflicts of interest.

Customer Complaints

I attest that I have not been the subject of any investment-related complaint since my last attestation, unless previously disclosed.

Business Continuity Plan

I attest that I understand my responsibilities under the Firm’s Business Continuity Plan.

Privacy and Information Security
(Regulation S-P)

I acknowledge compliance with Firm policies designed to safeguard client information.

Electronic Communications / Text Messaging

I attest that I have not used unapproved communication channels for business-related communications unless through a Firm-approved and archived system.

Correspondence and Advertising (Marketing Rule Compliance)

I attest that all communications and advertising have been approved prior to use and comply with SEC Rule 206(4)-1.

Social Media

I attest that I use only Firm-approved social media platforms and comply with all Firm policies.

Compliance Certification

I agree to comply with all applicable laws, regulations, and Firm policies and to report any violations.

Acknowledgment and Signature

I certify that the statements above are true, complete, and accurate to the best of my knowledge.

Representative Name: ____________________________

Signature: _____________________________________

Date: ______________________

By providing your name above and clicking the button below, you acknowledge the submission of this attestation electronically. As another measure of verification, we capture your computer’s IP address in addition to the time and date of your submission.