record keeping policy.

Books and Records
The firm’s Chief Compliance Officer (CCO) is responsible for keeping the firm’s records in accordance with Missouri regulations and as required by other jurisdictions.

Record Retention Requirements
The firm’s CCO shall ensure that all records are kept readily accessible for at least two years and kept at least five years either on-site or at alternative location.

Minimum Net Worth Computation
If required by the jurisdiction(s) in which it is registered, Core Planning shall prepare and maintain a balance sheet in conformity with GAAP each month.

The balance sheet shall be dated as of the last day of the month and shall be prepared within ten (10) business days after the end of the month. The firm shall at all times maintain a net worth in compliance with the applicable requirements of the jurisdiction(s) in which it is registered. Should the firm fail to maintain a sufficient net worth, then it will provide notification of the deficient net worth to the applicable regulator by the close of business on the next business day, together with a balance sheet dated as of the date such deficiency occurred.