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Our Anti-Money Laundering Policies and Procedures

Financial Northeastern Securities has adopted the following policies and procedures to detect and prevent money laundering:

• Financial Northeastern Securities has established a comprehensive anti-money laundering program that complies with applicable laws and regulations in the jurisdictions in which it conducts business.

• Financial Northeastern Securities has appointed an anti-money laundering compliance officer to oversee day-to-day operations and maintain internal controls of its anti-money laundering program.

• Financial Northeastern Securities has implemented procedures to monitor transactions for suspicious activity.

• Financial Northeastern Securities has established an ongoing program to train all appropriate personnel in the Firm’s anti-money laundering policies and procedures which includes training in the detection of money laundering and the reporting of suspicious activity.

• Financial Northeastern Securities has established an independent testing program to audit its anti-money laundering policies and procedures.

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