FERRETTI GROUP, INC.

77 WATER STREET, SUITE 1604
NEW YORK, NY 10005

Anti-Money Laundering Program

Ferretti Group, Inc. is a member of the Securities Investor Protection Corporation (SIPC).   SIPC provides protection for investors under specified situations.  SIPC returns funds to investors with assets in the hands of bankrupt or financially troubled brokerage firms.  It does not protect against trading losses.  More information is available at www.sipc.com or by contacting them directly by mail at Securities Investor Protection Corp., 805 15th Street NW, Suite 800 Washington, DC  20005-2215 or by telephone at (202) 371-8300.

Please direct all customer inquiries and/or complaints to our main office listed above to Phyllis Woods, Chief Compliance Officer.

Ferretti Group Inc.’s Anti-Money Laundering Principal is responsible for insuring that its AML Program contains a Customer Identification Program (CIP) that is sufficient to meet the requirements of the USA Patriot Act, SEC, and FINRA rules.  Please be advised that we will verify the information provided within a reasonable time period either before or after the account(s) are opened.

To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify, and record information that identifies each person who opens an account.  The types of information you would need to supply include:  name, address, date of birth, US tax identification number/social security number, or a non-US tax identification number with passport number and any other government-issued identification.

A corporation, partnership, trust, or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement, or a trust agreement.

US Department of Treasury, SEC, FINRA, and the NYSE rules require firms to provide most of this information.  These rules may also require firms to provide additional information, such as net worth, annual income, occupation, employment information, investment experience, and objectives, and risk tolerance.

Your firm may not be able to open an account or carry out a transaction for you.  If your firm has already opened an account for you, they may have to close it.