Management Compliance Checklist

Please complete the following questions to help us ensure the timely and accurate monitoring of Koch Capital's investment advisory compliance program. This survey is designed to provide a checklist for monthly, quarterly and annual compliance items. Please complete a survey within the first week of each month if possible.

Thank you for cooperation and we look forward to working together........Jim Koch

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    Monthly Compliance Checklist Items

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    Quarterly Compliance Checklist Items

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    Annual Compliance Checklist Items

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