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Compliance Guidelines

1. As a member of SOFA, I will conduct myself with the highest degree of professionalism and integrity at all times.

2. Upon my written acceptance of SOFA membership, I pledge to:

• Adhere to SOFA’s Compliance rules and regulations.

• Take quality time to go through SOFA’s Member Handbook (Transformation), as well as the training videos provided me to quickly learn the “SOFA Way”.

• Absolutely not promote my company, firm, or employer at any and all SOFA events.

• Seek written approval from SOFA’s Compliance Department on any material or content I provide during my workshop presentations… including any marketing or promotional pieces.

• Never allow a nonmember to participate as a “SOFA Guest” speaker at any SOFA events that I am participating in. If so, I realize termination of my membership will occur – no exceptions. This is a “zero tolerance” issue at SOFA.

3. I will not infringe upon any one particular venue location currently serviced by another SOFA member. Poaching may result in my immediate membership termination.

4. As a member of SOFA, the nature of all my promotional and presentation content will be for educational purposes only.

5. At the start of every seminar event, I will disclose my profession and communicate the “SOFA Presentation Disclaimer” to ensure transparency and clarity with my audience.

6. I acknowledge that no selling of products will occur during my seminar events.

7. I agree to apply the “SOFA Evaluation Form” in each one of my seminar events. Whether a seminar attendee decides to accept or deny a complimentary consultation, I will honor their request.

8. I agree to submit a current “Activity Report” to SOFA Headquarters, keeping SOFA informed, of all workshops scheduled that I plan to participate at.For each one of my seminar events, I will submit the required information into the “Seminar Events” tab located within my online membership account.

9. With my professional knowledge and expertise, I pledge to bring financial literacy to the people in my community.

10. SOFA compliance video will be watched within my first week of joining SOFA. I faithfully promise to adhere to SOFA?s required stipulations keeping my behavior, actions, and activities beyond reproach.

11. I understand that to plagiarize someone or something's (Organization, Company, Place of Worship) materials and use them as my own, in any manner is strictly prohibited and may lead to immediate termination of Membership.

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