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Form Cacl 280.151 - Facing Page For Application For A License Under The Capital Access Company Law Page 7

Committed any act involving dishonesty, fraud or deceit,

if the crime or act is substantially related to the qualifications, functions, or duties of a

person engaged in business in accordance with this Law.

EXHIBIT E. Complete the form entitled “Customer Authorization of Disclosure of Financial

must be TYPEWRITTEN and signed by a person authorized to sign on

behalf of the applicant.

EXHIBIT F. If the applicant will be doing business under a fictitious business name, provide a copy of

the Certificate of Filing and Proof of Publication, both of which bear the County Clerk’s filing stamp.

Refer to Section 17000 of the Business and Professions Code for the requirements of filing this

statement.

EXHIBIT G. Submit a copy of applicant’s organizational documents and any amendments thereto.

(E.g., Articles of Incorporation, Bylaws, Articles of Organization, Articles of Partnership, etc.)

EXHIBIT H. Provide the following if the applicant is a subsidiary:

A statement disclosing the ultimate parent corporation’s name and state where

incorporated.

A statement disclosing whether applicant has or will have other licensed locations or

affiliates in California operating under a similar plan or business.

A statement disclosing the complete business address and telephone number of

applicant’s management officer in California. If none, so indicate.

EXHIBIT I. Submit a copy of the applicant’s conflict of interest policies and procedures to

demonstrate compliance with Sections 28820, 28822, 28823, 28824, 28825, 28826, 28827, 28828 and

28829 of the Corporations Code.

EXHIBIT J. Submit a copy of any contracts that the applicant has entered into with any investment

adviser(s). (See Section 28212 of the Corporations Code.)

EXHIBIT K. Submit a consent to service of process from applicant and for applicant’s parent

organization and/or all of the applicant’s subsidiaries in the form stated in Rule 280.152. Service made

pursuant to the terms of the consent to service of process shall have the same force and validity as if

served personally on the applicant.

EXHIBIT L. By signing the application as provided for on the Execution Page, the applicant agrees (or

attests) to the following:

To maintain staff adequate to meet the requirements of the Capital Access Company

Law, as prescribed by rule or order of the Commissioner of Corporations.

To keep and maintain for 60 months the business records and other information required

by law or rules of the Commissioner of Corporations regarding any activities undertaken

in the course of the conduct of its business.

Form Cacl 280.151 - Facing Page For Application For A License Under The Capital Access Company Law Page 7