Disclosures
Disclosure of Conflicts of Interest and Legal or Disciplinary Events
Pursuant to Municipal Securities Rulemaking Board (“MSRB”) Rule G-42, on Duties of Non-Solicitor Municipal Advisors, Municipal Advisors are required to make certain written disclosures to clients which include, amongst other things, Conflicts of Interest and any Legal or Disciplinary events of Galvan Strategy Group (A&C Galvan Group LLC) and its associated persons.
Conflicts of Interest
Galvan Strategy Group represents that in connection with the issuance of municipal securities, Galvan Strategy Group may receive compensation from an Issuer or Obligated Person for services rendered, which compensation is contingent upon the successful closing of a transaction and/or is based on the size of a transaction. Consistent with the requirements of MSRB Rule G-42, Galvan Strategy Group represents that in connection with the issuance of municipal securities, Galvan Strategy Group may receive compensation from an Issuer or Obligated Person for services rendered, which compensation is contingent upon the successful closing of a transaction and/or is based on the size of a transaction. Any conflict of interest will not impair Galvan Strategy Group's ability to render unbiased and competent advice or to fulfill its fiduciary duty to the Issuer.
If Galvan Strategy Group becomes aware of any additional potential or actual conflict of interest after this disclosure, Galvan Strategy Group will disclose the detailed information in writing to the Issuer in a timely manner.
Legal or Disciplinary Events
Galvan Strategy Group does not have any legal events or disciplinary history on Galvan Strategy Group's Form MA and Form MA-I, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. The Issuer may electronically access Galvan Strategy Group most recent Form MA and each most recent Form MA-I filed.
There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA-I filed with the SEC. If any material legal or regulatory action is brought against Galvan Strategy Group, Galvan Strategy Group will provide complete disclosure to the Issuer in detail allowing the Issuer to evaluate Galvan Strategy Group, its management and personnel.