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• William Euphrat Municipal Finance, Inc. carries claims made and <br /> reported professional liability insurance. The policy has a $10,000 <br /> deductible and coverage of $1 million for each wrongful act with a $2 <br /> million policy aggregate. A bond consultant endorsement to the policy <br /> contains specific exclusions and is attached hereto. <br /> (ix) any legal or disciplinary event that is (a) material to the client's evaluation of the <br /> municipal advisor or the integrity of its management or advisory personnel; (b) <br /> disclosed by the municipal advisor on the most recent Form MA filed with the <br /> Commission; or (c) disclosed by the municipal advisor on the most recent Form <br /> MA-I filed with the Commission regarding any individual actually engaging in or <br /> reasonably expected to engage in municipal advisory activities in the course of <br /> the engagement. If a municipal advisor has disclosed a legal or disciplinary event <br /> on any form referenced in section (b) or (c) of this rule, the advisor must provide <br /> the client with a copy of the relevant sections of the form or forms. If a municipal <br /> advisor concludes that it has no material conflicts of interest, the municipal <br /> advisor must provide written documentation to the client to that effect. <br /> • William Euphrat Municipal Finance, Inc. has not been subject to any <br /> legal or disciplinary events. <br /> REV: 04-19-16 JS <br /> Page 13 of 14 <br /> ATTY/AGR.2016.079/W.Euphrat-FinanceAdvisorySvcs <br />