Laserfiche WebLink
C ity of Santa Ana - Annual Page O July 1, 2022 - <br />Statement of Investment Policy June 30, 2023 <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 />21.Attach certification documentation of your capital adequacy and financial solvency. This needs to be an <br />audited financial statement by an independent, recognized accounting firm. The audited financial statement <br />must be 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 />23.Does your firm offer investment training to your local agency clients? ( ) Yes ( ) No <br />CERTIFICATION <br />I hereby certify that I have personally read the City of Santa Ana’s Investment Policy and the California <br />Government Codes pertaining to investments and deposits of the City of Santa Ana, and have implemented <br />reasonable procedures and a system of controls designed to preclude imprudent investment activities arising out <br />of transactions conducted between our firm and the City of Santa Ana. I understand, however, that our firm is <br />not obligated to monitor the percentage limits on the investments as described in the City of Santa Ana’s <br />Investment Policy. All sales personnel will be routinely informed of the City of Santa Ana’s investment <br />objectives, horizon, outlook, strategies and risk constraints whenever we are so advised. We pledge to exercise <br />due diligence in informing the City of Santa Ana’s Investment Officers of all foreseeable risks associated with <br />financial transactions conducted with our firm. I attest to 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 <br />DOES NOT guarantee that the applicant will be approved to do business with the City of Santa Ana. <br />SIGNED: DATE: <br />COUNTERSIGNED: DATE: <br />(Company president or person in charge of government <br /> securities operations)