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City of Santa - Annual <br />Statement of Investment Policy Page O July 1, 2023 - <br />June 30, 2024 <br /> <br />19. Have you or your firm been censored or punished by a regulatory State or Federal Agency for improper or <br />fraudulent activities, related to the sale of securities? ( ) Yes ( ) No <br />20. If answer to question # 19 is YES, please explain charge(s), date(s), action(s) taken: <br /> <br /> <br /> <br /> <br /> <br /> <br /> <br /> <br /> <br />21. Attach certification documentation of your capital adequacy and financial solvency. This needs to be an audited <br />financial statement by an independent, recognized accounting firm. The audited financial statement must be <br />provided annually to the City within 120 days of your firm’s fiscal year-end. <br />22. Attach a complete schedule of your applicable fees and charges. <br /> <br />23. Does your firm offer investment training to your local agency clients? ( ) Yes ( ) No <br /> <br /> <br />CERTIFICATION <br /> <br />I hereby certify that I have personally read the City of Santa Ana’s Investment Policy and the California Government <br />Codes pertaining to investments and deposits of the City of Santa Ana, and have implemented reasonable procedures <br />and a system of controls designed to preclude imprudent investment activities arising out of transactions conducted <br />between our firm and the City of Santa Ana. I understand, however, that our firm is not obligated to monitor the <br />percentage limits on the investments as described in the City of Santa Ana’s Investment Policy. All sales <br />personnel will be routinely informed of the City of Santa Ana’s investment objectives, horizon, outlook, strategies and <br />risk constraints whenever we are so advised. We pledge to exercise due diligence in informing the City of Santa Ana’s <br />Investment Officers of all foreseeable risks associated with financial transactions conducted with our firm. I attest to <br />the accuracy of our responses to your questionnaire. <br />NOTE: Completion of this questionnaire is only part of the City of Santa Ana’s certification process and DOES <br />NOT guarantee that the applicant will be approved to do business with the City of Santa Ana. <br /> <br />SIGNED: DATE: <br /> <br />COUNTERSIGNED: DATE: <br />(Company president or person in charge of government <br />securities operations)