Agmt21 William Euphrat Municipal finance, Inc. Finance Dept

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EXHIBIT " C" Disclosures and Conflict of Interest Federal regulations require municipal advisors to make certain disclosures at inception of each new engagement for the provision of municipal advisory services. This Exhibit is intended to satisfy the disclosure requirement. 1. The only compensation to be received by William Euphrat Municipal Finance, Inc. in connection with this engagement shall be that paid by Redwood City. Proposed compensation is described in Attachment 1 under "Compensation". No compensation, either direct or indirect, shall be paid by William Euphrat Municipal Finance, Inc. to any other party to obtain this engagement. 2. A statement of economic interests, California Form 700, has been submitted to the City. A statement of conflicts of interest is included herein in numbered paragraph 10. 3. The Securities and Exchange Commission ("SEC') requires that that registered municipal advisors disclose legal and disciplinary events on forms MA and MA -1 and file such forms with the SEC. These forms include information regarding any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation in which a registered municipal advisor (form MA) or municipal advisor representative (form MA -1) employed by such municipal advisor has been involved. For free access to the forms MA and MA -1 filed by William Euphrat Municipal Finance, Inc. visit the SEC web page, https//www.sec.gov/edgar/searchedgar/companysearch.html and search the name, William Euphrat Municipal Finance. 4. There have been no changes or additions to the legal or disciplinary event disclosures on the forms MA and MA -1 on file with the SEC. 5. The scope of municipal advisory services to be performed under this agreement are included as Attachment 1 to this Agreement. 6. The term of this engagement shall extend through the closing of a bond or other type of securities transaction if any such obligations are issued. If no obligations are issued, the term shall extend until such time as the City shall notify William Euphrat Municipal Finance, Inc. that the engagement is terminated. 7. William Euphrat Municipal Finance, Inc. is registered as a Municipal Advisor with the SEC (#867-00028) and with the MSR13(#K0263). 8. The MSRB has prepared a brochure for municipal advisory clients that is posted on the MSRB website and which describes the protections that may be provided by MSRB rules and how to file a complaint with an appropriate regulatory authority. The brochure may be accessed at the following web address: http://www,msrb.o[g/Rules-and- Inter rotations/MSRB-Ruies/General/Rule-G-10-10-13-2017.as x?tab=oi. 9. The MSRB web address is htt ://www.msrb.or /. Page 15 of 16 REV: 09-11-18 DZ ATTY/AGR.2018.219/Willam Euphrat Municipal Finance Advisor - YMCA/Senior Ctr Funding