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Regulatory Reporting
Policy
As a registered investment adviser with the SEC, or appropriate state(s), CIS's policy is to maintain the firm’s
regulatory reporting requirements on an effective and good standing basis at all times. CIS also monitors, on an on-
going and periodic basis, any regulatory filings or other matters that may require amendment or additional filings
with the SEC and/or any states for the firm and its associated persons.
Any regulatory filings for the firm are to be made promptly and accurately. Our firm’s regulatory filings include
Form ADV, Form 13D, 13F and 13G filings, among others that may be appropriate.
Background
Form ADV may serve as an adviser's Disclosure Document and is an adviser's registration document. Form ADV,
therefore, provides information to the public and to regulators regarding an investment adviser. Regulations
require that material changes to Form ADV be updated promptly and that Form ADV be updated annually.
Forms 13D, 13F and 13G are filings required under the Securities Exchange Act related to client holdings in equity
securities.
Responsibility
The CCO has the responsibility for the implementation and monitoring of our regulatory reporting policy, practices,
disclosures and recordkeeping.
Procedure
CIS has adopted procedures to implement the firm’s policy and reviews to monitor and ensure the firm’s policy is
observed, implemented properly and amended or updated, as appropriate, which include the following:
• CIS makes an annual filing of Form ADV within 90 days of the end of each fiscal year (Annual Updating
Amendment) to update certain information required to be updated on an annual basis.
• CIS promptly updates our Disclosure Document and certain information in Form ADV, Part 1 and Part II, as
appropriate, when material changes occur.
• All employees should report to the Compliance Officer, or other designated officer any information in
Form ADV and/or the Disclosure Document that such employee believes to be materially inaccurate or
omits material information.
• The CCO will review Forms 13D, 13F and 13G filing requirements and make such filings and keep
appropriate records as required.