Compliance

Terms of Use:
The information on this Site is for informational purposes only. No material on this Site shall be used or considered as an offer to sell or a solicitation of any offer to buy services of Union Gaming Securities LLC (together with its affiliates, “Union Gaming”) or any securities of any other issuer. Offers can only be made where lawful under, and in compliance with, applicable law. The information contained in this Site has been prepared without reference to any particular user’s investment requirements or financial situation. Decisions based on information contained on the Site are the sole responsibility of the visitor.
The information and services provided on this Site are not provided to and may not be used by any person or entity in any jurisdiction where the provision or use thereof would be contrary to applicable laws, rules or regulations of any governmental authority or regulatory or self-regulatory organization or clearing organization or where Union Gaming is not authorized to provide such information or services. Union Gaming makes no representations that transactions, products or services discussed on this Site are available or appropriate for sale or use in all jurisdictions or by all investors. Those who access this Site do so at their own initiative and are responsible for compliance with local laws or regulations. While Union Gaming uses reasonable efforts to obtain information from reliable sources, Union Gaming makes no representations or warranties as to the accuracy, reliability or completeness of any information or document at this Site obtained outside of Union Gaming. Opinions and any other contents at this Site are subject to change without notice. The user acknowledges and agrees that information provided through the Site is provided on an “as is” and “as available” basis. Union Gaming disclaims, to the fullest extent of the law, all implied or express warranties, including but not limited to, implied warranties of merchantability and fitness for a particular purpose, nor does it guarantee the timeliness, reliability, quality, completeness, or usefulness or continued availability of any of the contents available on the Site.
Union Gaming is not utilizing this Site to provide investment or other advice, and no information or material at this Site is to be deemed a recommendation to buy or sell any securities or is to be relied upon for the purpose of making or communicating investment or other decisions. Any transactions listed on this Site are included as representative transactions and are not necessarily reflective of overall performance.
Nothing on this Site constitutes investment, legal or tax advice and Union Gaming does not advise on the tax consequences of any investment.

Past Performance:
Past performance is not indicative of future results; no representation is being made that any investment will or is likely to achieve profits or losses similar to those achieved in the past, or that significant losses will be avoided.

Governing Law and Consent to Jurisdiction:
These terms and your use of the Site shall be governed by the laws of the United States of America and the State of Nevada without regard to its conflicts of laws principles. Any legal action or proceeding related to this Site shall be brought exclusively in a federal or state court of competent jurisdiction sitting in Nevada.

Regulatory Matters:
Union Gaming provides independent financial advice in the United States through its registered
broker-dealer, Union Gaming Securities LLC. This broker-dealer is registered with the
Securities and Exchange Commission (“SEC”) and are members of the Financial Industry
Regulatory Authority, Inc. (“FINRA”) and SIPC. Union Gaming does not solicit or carry
accounts for, or offer or sell securities products to retail customers.

Disclosure Statement for Hong Kong Users:
Union Gaming is represented in Hong Kong by Union Gaming Securities Asia Limited,
authorized and regulated by the Securities and Futures Commission. The information contained
on this site has been approved for issue in Hong Kong by Union Gaming Securities Asia
Limited.

This Site is provided for informational purposes only and is not directed at, or intended for
distribution to or use by, any person or entity who is a citizen or resident of or located in any
jurisdiction where such distribution, publication, availability or use would be contrary to
applicable law or regulation which would subject Union Gaming or its affiliates to any
registration or licensing requirements with such jurisdiction.

Equal Employment:
Union Gaming is committed to the principles of equal employment opportunity and does not
discriminate against any employee or applicant for employment because of race, color, religion,
gender, national origin, veteran status, disability, age, citizenship, marital status, sexual
orientation or because of any other criteria prohibited under controlling federal, state or local
law.

Proprietary Rights:
All right, title and interest in this web site and any content contained herein is the exclusive
property of Union Gaming, except as otherwise stated. Unless otherwise specified, this web site
is for your personal and non-commercial use only and you may print, copy and download any
information or portion of this web site for your personal use only. You may not modify, copy,
distribute, transmit, display, perform, reproduce, publish, license, frame, create derivative works
from, transfer, or otherwise use in any other way for commercial or public purposes in whole or
in part any information, products or services obtained from this web site, except for the
purposes expressly provided herein, without Union’s prior written approval. If you copy or
download any information from this web site, you agree that you will not remove or obscure any
copyright or other notices or legends contained in any such information.
Union Gaming, the Union Gaming logo and other Union Gaming trademarks and service marks
referenced herein are trademarks and service marks of Union Gaming. The names of other
companies and third-party products or services mentioned herein may be the trademarks or
service marks of their respective owners. You are prohibited from using any marks for any
purpose including, but not limited to use as metatags on other pages or sites on the World Wide
Web without the written permission of Union or such third party, which may own the marks.

Use of Links:
This web site contains links to third party web sites. These links are provided only as a
convenience. The inclusion of any link is not and does not imply an affiliation, sponsorship,
endorsement, approval, investigation, verification or monitoring by Union Gaming of any
information contained in any third party web site. In no event shall Union Gaming be responsible
for the information contained on that site or your use of or inability to use such site. You should
also be aware that the terms and conditions of such site and the site’s privacy policy may be
different from those applicable to your use of this web site.

Customer Complaint Notice Disclosure Statement – SEC Rule 17a-3(a)(18)(ii):
Union Gaming, in accordance with Rule 17a-3(a)(18)(ii), is furnishing this statement to provide
you with a name, telephone number and address, if you ever need to report or notify us of a
possible complaint. If, for any reason, you feel you have a complaint, please contact our Chief
Compliance Officer immediately at:

Union Gaming
3930 Howard Hughes Pkwy, Suite 230
Las Vegas, NV 89169
Attn: Compliance Department

Business Continuity Plan:
Union Gaming Securities LLC (“Union Gaming”) has developed a Business Continuity Plan
(“BCP”) to manage and mitigate the impact of events that have the potential to significantly
disrupt business. Since the timing and impact of disasters and disruptions is unpredictable, we
will have to be flexible in responding to actual events as they transpire. The BCP is designed to
enable us to recover and return to business operations as quickly as possible.
In the event of a significant business disruption, we will assess which means of communication
are still available to us and communicate accordingly with clients, where necessary. If you
cannot communicate with us as you usually do, you should contact us
at mike.glynn@uniongaming.com.
We believe that we have implemented reasonable measures to quickly resume business
operations after a significant business disruption and safeguard our employees, property, and
books and records. The BCP addresses data backup and recovery; all mission critical systems;
financial and operational assessments; alternative communications with customers, employees,
and regulators; alternate physical location of employees; critical supplier, bank, and counterparty
impact; and regulatory reporting.
Significant business disruptions can vary in their scope, such as affecting only our firm, a single
building housing our firm, the business district where our firm is located, the city where we are
located, or the whole region. Within each of these areas, the severity of the disruption can also
vary from minimal to severe. We plan to mitigate the impact of a disruption through a
combination of data redundancy, secondary location, and remote computing. However, in the
event of a business disruption, Union Gaming cannot guarantee that it will be able to continue or
resume business operations within any specified period of time.
If you have questions about the BCP, you can contact us at 702-866-0749 or through our
website www.uniongaming.com. A copy of the BCP is available upon request by writing Union
Gaming, 3930 Howard Hughes Pkwy, Suite 230, Las Vegas, NV 89169.

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