Compliance

Mosaic Research is an Oregon state registered investment advisor. Mosaic Research’s compliance procedures and a code of ethics include prohibitions against the use of material non-public information (“inside information”). Mosaic Research’s employees and consultants must agree to abide by Mosaic Research’s insider trading procedures, which prohibit them from forwarding or using inside information. All of our consultants must go through training on our compliance procedures before working with Mosaic and consultants are subject to annual compliance reviews. Mosaic Research consultants are not employees of public companies. Mosaic Research’s code of ethics as well as the biographies of its consultants are available upon request by clients and prospective clients.