Compliance

All employees and consultants are educated and instructed as to the definition of insider information. Consultants sign an agreement specifically prohibiting the use of such information. The agreement outlines confidentially of non-public information and potential conflicts of interest. Employees are not allowed to trade in the names of any stocks mentioned in any roundtables or forums sponsored by our company without the express consent of our chief compliance officer.

For more information on compliance procedures contact Tom Roulston at 216-765-0566.