Branch Manager Monthly Report

PLEASE PROVIDE THE INFORMATION REQUIRED BELOW. IF THERE IS NOTHING TO REPORT, PLEASE STATE SO

NEW ACCOUNT OPENING

1. Did you reject any applications this month? If Yes, please provide reason(s) for rejection and explain resolution.

2. Did you question affordability or suitability on any applications submitted. If Yes, has this been documented and placed in the client file?

3. Were any applications approved in advance of the date client signed the application. If Yes, were notes explaining the reason retained in the client file?

SUPERVISION

4. List any ABMs who assumed BM duties due to your absence from the Branch for this month.

5. Details of any instance of commission rebating, other prohibited practice or unethical conduct.

6. Details of any disciplinary action initiated with an SR/ABM/Admin Staff?

7. Details of any trends identified during this month (high terminations, unusually high volume of sales, multiple sales with identical KYC information, etc)?

8. Name each Sales Representative whose sales presentation or performance was evaluated and the date of evaluation.

ANTI-MONEY LAUNDERING

9. Details of any suspicious transactions or attempted suspicious transactions during this month that the Branch became aware of.

BRANCH MEETING(S)/TRAINING

10. List the dates Branch meetings were held during the month.

Indicate if a compliance component was included in any of the above mentioned meetings and the topic(s) discussed.

Indicate whether the agenda, minutes or a meeting record as well as a log of attendees was maintained and can be made available upon request.

LOCAL MARKETING AND ADVERTISING

11. Details for local marketing activity approved or engaged in.

12. Details of any unapproved or stale-dated marketing, advertising or holding-out material or activity you became aware of and action(s) you took?

REGISTRATION & TERMINATION

13. Any material changes to any registrant’s NRD information including termination of registration and reason(s) for each termination.

14. Has all CSTC property been collected from terminated Sales Representatives during this month? If No, please name the Sales Representative and the items not recovered.

15. List each non-licensed person(s) hired, details of their role and who they will be working for if it is not the branch.

COMPLAINTS

16. List each complaint received at the branch level, the date received and its current status.

17. Details of each conflict of interest situation identified and measures taken for resolution.

PRIVACY AND CONFIDENTIALITY

18. List any instance of breach of client information or Branch Office/SR Office security.