Disclosures

P.A.T.R.I.O.T. A.C.T. NOTICE

In accordance with the U.S.A. PATRIOT Act, all financial institutions are required to obtain, verify, and record information that identifies individuals or entities seeking to open an account, as part of efforts to combat terrorism financing and money laundering activities.

What this means for you:

While Austin Atlantic Capital Inc. does not directly open accounts, the broker-dealers and custodians with which we have distribution agreements are required to comply with these obligations. These entities may request documents and information to verify the identity of individuals or the existence of entities opening accounts, including business addresses, tax identification numbers, and other documentation.

Due Diligence and Compliance Oversight

Austin Atlantic Capital Inc., acting as a mutual fund underwriter and distributor, conducts thorough due diligence on all broker-dealers and custodians with which it partners. As part of this process, we ensure that these entities have robust anti-money laundering (AML) programs and procedures in place, consistent with the requirements of the PATRIOT Act and other applicable regulations. Our firm requires that our partners maintain ongoing compliance with all relevant laws and regulations, and we continuously monitor their adherence through periodic reviews and reporting.