Regulatory Disclosures

Patriot Act Certification

Under the USA PATRIOT Act and final rules issued by the U.S. Department of the Treasury, a U.S. bank or a U.S. broker-dealer in securities (a "Covered Financial Institution") is mandated to acquire specific information from any "Foreign Bank" that retains a correspondent account with it.

General Statement on Observation of Anti-money Laundering Requirements

Trent Oaks Patterson Capital Management is firmly committed to participating in international efforts to combat money laundering and the funding of terrorist and criminal activities.

Trent Oaks Patterson Capital Management is a strong advocate of the Financial Action Task Force (FATF) which has passed laws and rules designed to harness the anti-money laundering policies of both FATF and the EU. These regulations aim to detect and inhibit money laundering and potential terrorist financing.

Trent Oaks Patterson Capital Management has an anti-money laundering (AML) procedure that is designed to comply with the relevant anti-money laundering rules as the bare minimum standard throughout the company as well as with all applicable laws, regulations, and guidance relating to the deterrence of money laundering, terrorist financing, and related financial crimes. These include written policies and procedures, a designated anti-money laundering officer, routine instruction for relevant employees, and an independent audit to check the execution of the program.

As part of its anti-money laundering and anti-terrorist compliance efforts, Trent Oaks Patterson Capital Management takes steps to make sure that it complies with any and all applicable embargos. Trent Oaks Patterson Capital Management uses its best efforts to ensure compliance with these prohibitions and restrictions and to expose suspicious activities. Depending on the jurisdiction and business arena, Trent Oaks Patterson Capital Management operates technological systems and manual oversight systems to reveal suspicious behavior. Any such suspicions are conveyed to law enforcement.

Should you have any further questions or would like some additional information about Trent Oaks Patterson Capital Management’s anti-money laundering efforts, please contact: