Describe the procedures for supervising the work of its Municipal firm’s Advisors. Are the procedures written? How is compliance with such procedures verified? How often? Were any of the employees associated with a broker-dealer firm firm’s within the past two years? COMPLIANCE WITH MINIMUM QUALIFICATIONS Describe how the firm meets the Public Finance Experience: requirement described in Section III.A. PUBLIC FINANCE EXPERIENCE. Registration & Legal Disclosure: Please complete Attachment E, Registration, Disciplinary Action, and Litigation. Quarterly Disclosure Report: Please execute and submit Attachment , Quarterly Disclosure Report Certification, agreeing to provide quarterly disclosure to the STO. Professional Liability Insurance: Please attach, as an appendix, evidence of professional liability insurance coverage for the firm and its advisors including coverage amounts. The evidence of coverage should indicate whether securities transactions are covered. California Taxpayer and Shareholder Protection Act of 2003 U.S. – Expatriate Corporations: Please complete Attachment , Expatriate Corporation Certification. Darfur Contracting Act of 2008: Please complete Attachment , Darfur Contracting Act Certification. Iran Contracting Act of 2010: Firms will be required to complete a certification similar to Attachment , Iran Contracting Act Certification, for each applicable transaction, shortly after the firm is appointed for that particular sale. Please note that Attachment I is for your information only and does not need to be completed at this time. Describe any fees, fee splitting, payments to consultants, or other contractual arrangements of the firm that could present a real or perceived conflict of interest.
Describe the firm’s procedures for supervising the work of its Municipal Advisors. Are the procedures written? How is compliance with such procedures verified? How often? Were any of the firm’s employees associated with a broker-dealer firm within the past two years? COMPLIANCE WITH MINIMUM QUALIFICATIONS Public Finance Experience: Describe how the firm meets the requirement described in Section III.A. PUBLIC FINANCE EXPERIENCE. Registration & Legal Disclosure: Please complete Attachment E, Registration, Disciplinary Action, and Litigation. Quarterly Disclosure Report: Please execute and submit Attachment , Quarterly Disclosure Report Certification, agreeing to provide quarterly disclosure to the STO. Professional Liability Insurance: Please attach, as an appendix, evidence of professional liability insurance coverage for the firm and its advisors including coverage amounts. The evidence of coverage should indicate whether securities transactions are covered. California Taxpayer and Shareholder Protection Act of 2003 – U.S. Expatriate Corporations: Please complete Attachment , Expatriate Corporation Certification. Darfur Contracting Act of 2008: Please complete Attachment , Darfur Contracting Act Certification. Iran Contracting Act of 2010: Firms will be required to complete a certification similar to Attachment , Iran Contracting Act Certification, for each applicable transaction, shortly after the firm is appointed for that particular sale. Please note that Attachment I is for your information only and does not need to be completed at this time. Describe any fees, fee splitting, payments to consultants, or other contractual arrangements of the firm that could present a real or perceived conflict of interest.
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