Client Accounts

The firm’s CCO shall review new accounts periodically as part of the CCO’s quarterly account reviews to ensure compliance with applicable laws and firm policies. The CCO may choose to review new accounts more often if the periodic reviews reveal deficiencies. Additional reviews will be documented and stored if they occur.

Opening New Accounts

Prior to engaging in investment advisory services offered by Core Planning, each potential client shall receive, as required in SEC Rule 204-3, at a minimum the following:

• Disclosure Brochures (Form ADV Part 2A and 2B)
• Privacy Policy
• Form CRS

Prior to providing advisory services to a client, Core Planning and the client shall complete and execute a contract outlining the services to be provided, the terms of the services as well as an investment policy or other document that provides suitability information such as investment objectives, risk tolerance and financial condition of the client.

Updating and Confirming Client Account Information

The firm will periodically, but at a minimum annually, verify and update the information it receives from its clients during client meetings and reviews.

Transaction and Portfolio Review

The firm’s CCO shall periodically review client accounts and activity to ensure those client accounts and activity:

• Comply with the firm’s best execution policies