Form Cacl 280.151 - Facing Page For Application For A License Under The Capital Access Company Law Page 9

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14.
Hereby attests that the applicant will submit the economic benefit surveys and
questionnaires to the Trade and Commerce Agency in compliance with Section 28506 of
the Capital Access Company Law.
15.
Hereby attests that the applicant is not insolvent.
16.
Hereby attests that the applicant has acted with due care and competence in performing
any act for which it is required to hold a license under the Capital Access Company Law.
17.
Hereby attests that the applicant will comply with all applicable requirements of
California and federal law, including the Corporate Securities Law of 1968.
18.
Hereby attests that the applicant’s organizational documents will include the provisions
required in Section 28200 of the Capital Access Company Law.
19.
Hereby attests that the applicant will not engage in any business other than the following:
a.
The business of providing financial assistance through the purchase of securities
of small business firms doing business or proposing to do business wholly or
substantially in this state.
b.
The business of providing managerial assistance (including managerial and
technical assistance) to small business firms doing business or proposing to do
business wholly or substantially in this state.
[The next page is the Execution Page.]
9

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