COMPLIANCE AND OPERATIONAL CERTIFICATION PROGRAMS

Through its Compliance and Operational Certification Programs, Orical provides its clients, their valued investors and regulators with an added level of confidence that their investment management firms' compliance and operational infrastructure is appropriately planned, developed and administered. Accordingly, as part of Orical’s Compliance Monitoring and Mock Audit Programs, Orical will, upon request, provide certified final or periodic reports (as applicable) that are suitable for distribution to investors and regulators. The certified reports summarize the work conducted by Orical, including the policies reviewed, the procedures and tests conducted, their results and whether such firm’s compliance, controls and operations practice, satisfy and/or exceed the applicable and established industry standards specified therein and represent the applicable industry’s best practices. For an example of a certified final report, please contact us at info@orical.org.