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<br />ATTY/AGR/2016.150/PFM-INVESTMENT ADVISORY SVC <br />REV: 06-22-16 JS <br />Page 10 of 16 <br />its principals, affiliates, or employees may purchase, sell or exchange such <br />security for the account of any other client or for itself or its own accounts. <br /> <br />28.7 Force Majeure. Consultant shall have no liability for any losses arising out <br />of the delays in performing or inability to perform the services which it renders <br />under this Agreement which result from events beyond its control, including <br />interruption of the business activities of Consultant or other financial institutions <br />due to acts of God, acts of governmental authority, acts of war, terrorism, civil <br />insurrection, riots, labor difficulties, or any action or inaction of any carrier or <br />utility, or mechanical or other malfunction. <br /> <br />28.8 Disciplinary Actions. Consultant shall promptly give notice to City if <br />Consultant shall have been found to have violated any state or federal securities <br />law or regulation in any final and unappealable judgment in any criminal action or <br />civil suit in any state or federal court or in any disciplinary proceeding before the <br />Securities and Exchange Commission (“SEC”) or any other agency or <br />department of the United States, any registered securities exchange, FINRA, or <br />any regulatory authority of any State based upon the performance of services as <br />an investment advisor. <br /> <br />28.9 Books. Consultant shall maintain records of all transactions in the <br />Managed Funds. Consultant shall provide City with a monthly statement showing <br />deposits, withdrawals, purchases and sales (or maturities) of investments, <br />earnings received, and the value of assets held on the last business day of the <br />month. The statement shall be in the format and manner that is mutually agreed <br />upon by Consultant and City. <br /> <br />28.10 Brochure and Brochure Supplement. Consultant warrants that it has <br />delivered to City prior to the execution of this Agreement Consultant's current <br />SEC Form ADV, Part 2A (brochure) and Part 2B (brochure supplement). City <br />acknowledges receipt of such brochure and brochure supplement prior to the <br />execution of this Agreement. <br /> <br />[Signature Page Follows] <br /> <br /> <br /> <br /> <br /> <br /> <br /> <br /> <br /> <br /> <br /> <br /> <br />6.1.I. - Page 39