At Berkshire Capitals, we are dedicated to maintaining the highest standards of regulatory compliance. We recognize that adherence to applicable laws and regulations is critical to our success and reputation. Our commitment to compliance extends across all facets of our operations and is integral to our corporate governance.

Our regulatory compliance program is built on a robust framework that aligns with local, national, and international regulations relevant to our business. This includes, but is not limited to:

• Financial regulations and reporting standards.
• Anti-Money Laundering (AML) laws.
• Data protection and privacy regulations.
• Consumer protection laws.

We have developed comprehensive compliance policies and procedures designed to ensure that all employees understand their responsibilities regarding compliance. Key components include:

• Regular training sessions on compliance-related topics.
• Clear guidelines for reporting suspicious activities.
• Regular audits and assessments of our compliance practices.

We have appointed a Compliance Officer responsible for overseeing our compliance program. The Compliance Officer's duties include:

• Monitoring compliance with applicable regulations.
• Conducting risk assessments to identify potential compliance issues.
• Providing guidance and support to employees on compliance matters.

Employees and investors are encouraged to report any suspected violations of compliance policies or regulations. Reports can be made confidentially to the Compliance Officer without fear of retaliation. We take all reports seriously and will investigate them promptly.

We are committed to the continuous improvement of our compliance program. We regularly review and update our policies and procedures to reflect changes in regulations, industry best practices, and our business operations.

Berkshire Capitals is dedicated to conducting business ethically and responsibly. We expect our employees, partners, and stakeholders to uphold the same ethical standards in their interactions with us. Compliance with laws and regulations is not just a requirement; it is a reflection of our values and commitment to our clients and community.