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Professional Services Agreement - Baker Tilly Municipal Advisors LLC - LTCP Financial Services
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Professional Services Agreement - Baker Tilly Municipal Advisors LLC - LTCP Financial Services
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4/4/2025 2:04:42 PM
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9/11/2019 10:38:38 AM
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Board of Public Works
Document Type
Contracts
Document Date
9/10/2019
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Exhibit C <br />MSRB Rule G-42 requires that municipal advisors provide to their clients certain disclosures of legal or <br />disciplinary events material to its client's evaluation of the municipal advisor or the integrity of the municipal <br />advisor's management or advisory personnel. <br />Accordingly, the Firm sets out below required disclosures and related information in connection with such <br />disclosures. <br />I. Material Legal or Discilgingry.Event. There are no legal or disciplinary events that are material to <br />Client's evaluation of the Firm or the integrity of the Firm's management or advisory personnel <br />disclosed, or that should be disclosed, on any Form MA or Form MA-1 filed with the SEC. <br />11. H'ow to Access Form MA and Form MA-1 Filings. The Firm's most recent Form MA and each most <br />recent Form MA-1 filed with the SEC are available on the SEC's EDGAR system at <br />Ittt : �www.seo. ovdc l binfbrow e ed ar action® etoom an. C1K=0001616995. <br />III. Most Recent Chaan a in Legal or Discl linaar Event Disclosure, The Firm has not made any <br />material legal or disciplinary event disclosures on Form MA or any Form MA-1 filed with the SEC. <br />PART C — Future Supplemental Disclosures <br />As required by MSRB Rule G-42, this Disclosure Statement may be supplemented or amended, from time <br />to time as needed, to reflect changed circumstances resulting in new conflicts of interest or changes in the <br />conflicts of interest described above, or to provide updated information with regard to any legal or <br />disciplinary events of the Firm. The Firm will provide Client with any such supplement or amendment as it <br />becomes available throughout the terra of the Agreement. <br />PART D -- Rule C-10: investor and Munici all Advisory Client Education and protection <br />MSRB Rule G-10 requires that municipal advisors to notify their clients of the availability of a client brochure <br />on the MSRB's website that provides information on the processes for filing a client complaint. <br />Accordingly, the Firm sets out below the required information. <br />I. The Firm is registered as a Municipal Advisor with the Securities and Exchange Commission (867- <br />00880) and the Municipal Securities Rulemaking Board (K1027). <br />II. The website address for the Municipal Securities Rulemaking Board is www.msrb.org. <br />III. The website for the Municipal Securities Rulemaking Board has a link to a brochure that describes (i) <br />the protections that may be provided by the Municipal Securities Rulemaking Board rules and (ii) <br />describes how to file a complaint with an appropriate regulatory authority. <br />
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