AML Notice

Bridgeview Capital Advisors, Inc.
ANTI-MONEY LAUNDERING POLICY


This material is being supplied to customers of Bridgeview Capital Advisors, Inc..
regarding the USA PATRIOT Act.

The PATRIOT ACT was enacted to, among other things, deter and punish terrorist acts in the United States and around the world, and to enhance law enforcement investigatory tools. When President Bush signed the USA PATRIOT Act on October 26, 2001, Title III of the Act imposed new obligations on broker/dealers through Anti-Money Laundering (AML) provisions and added new amendments to the Bank Secrecy Act (BSA).

Some of the new provisions required broker/dealers, such as Bridgeview Capital Advisors, Inc. to file reports that identify and describe transactions that raise suspicions of illegal activity. Specifically, the final rule requires broker/dealers to report any transaction that, alone or in the aggregate, involves at least $5,000 in funds or other assets, if the broker/dealer knows, suspects, or has reason to suspect that it falls within one of four classes: (1) the transaction involves funds derived from illegal activity or is intended or conducted to hide or disguise funds or assets derived from illegal activity; (2) the transaction is designed, whether through structuring or other means, to evade the requirements of the BSA; (3) the transaction appears to serve no business or apparent lawful purpose or is not the sort of transaction in which the particular customer would be expected to engage and for which the broker/dealer knows of no reasonable explanation after examining the available facts; or (4) the transaction involves the use of the broker/dealer to facilitate criminal activity.

Bridgeview Capital Advisors, Inc.will be performing additional due diligence when opening an account, depending on the nature of the account, and to the extent reasonable and practicable: source of the customer’s assets and income to determine if the inflow and outflow of money and securities is consistent with the customer’s financial status; gain an understanding of the customer’s likely trading patterns so if deviations can be detected later, or if they occur; maintain record that identify owners of accounts and their respective citizenship; require customers to provide street addresses to open an account, and not simply post office addresses, or “mail drop” addresses; periodically contact businesses to verify the accuracy of addresses, the place of business, the telephone, and other identifying information; and conduct credit history and criminal background checks through available vendor databases.

Bridgeview Capital Advisors, Inc.. is prohibited from establishing, maintaining, and administering, or managing a “correspondent account” in the United States for an unregulated foreign shell bank.

If you have any questions or concerns about this policy of Bridgeview Capital Advisors, Inc., please contact us at (530) 662-8675, Monday through Friday, between the hours of 8:00 AM and 5:00 PM Pacific Time.

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