CORRESPONDENCE.

All incoming mail to an office is to be reviewed by a designated individual. Any correspondence from a client or prospect is to be copied and the original sent to compliance (scanned into designated folder in Laserfitche). The copy may then be provided to the intended recipient except in the case of a complaint.

Copies of all outgoing correspondence (i.e. Letter to a client or prospect relating to Spire business) must be scanned into the designated folder in ADI. As a reminder, Correspondence – which is only going to no more than 1 person – does not have to be pre-approved. But a copy of the correspondence must be submitted within 5 days of being produced. If going to more than 1 person - which could be considered sales literature or advertising, - needs to be pre-approved.

Incoming and outgoing faxes and emails will continue to be picked up by our vendor, Global Relay. It is important to remember that it is also a violation of Spire’s policies to have clients and prospects sending emails to personal email accounts. All Spire related emails and emails from clients and prospects, must come through an approved Spire email account.

OUTGOING MAIL

1. TO SPIRE OPS – Sent by traceable means and should include the transmittal (s).
2. TO DESIGNATED CUSTODIANS – Should be sent by traceable means and should

include the transmittal(s).

1. TO SPONSOR COMPANIES – Should be sent by traceable means.
2. TO CLIENTS – Following procedures for Correspondence or Sales Literature guidelines.
3. TO PROSPECTS – Following procedures for Correspondence or Sales Literature guidelines.