2026 Compliance Manual Attestation

Vicus Capital and its Affiliated persons are subject to the rules and regulations of the SEC. As such, Vicus Capital has established policies and procedures designed to comply with these rules and regulations. The purpose of this Manual is to help you understand and focus on your compliance responsibilities.

Please note: ALL Investment Advisor Representatives (IARs), Access persons and Employees are required to complete this attestation.

Name of SUBMITTER*

First NameLast Name

Email Address of SUBMITTER*

example@example.com

I acknowledge that Vicus Capital has provided me with a copy of the 2026 Vicus Capital Compliance Manual. I certify that I received a copy of the Manual; read and understand it is my responsibility to read and familiarize myself with its contents, as well as any additional compliance releases that may be issued in the future; and agree to comply with the terms of the Manual.*

I Agree

I attest that my answer above is truthful and accurate. By agreeing below and submitting this survey, I confirm that it acts as my electronic signature and confirmation that I reviewed in its entirety the Vicus Capital Compliance Manual and agree to abide by its terms and conditions. I understand that failure to follow the Manual can result in disciplinary action which could include termination.*

I Agree