THIRD-PARTY RANKINGS & AWARDS Third-Party Rankings & Awards PolicyRedhawk will review third-party rankings and awards to determine if they meet the compliance criteria for use in advertisements. Redhawk must consider numerous factors, based on the advisor's answers to the questions on the rankings and awards disclosure below, when determining whether any advertisement containing a third-party ranking is false or misleading, and thus, prohibited. Third-party rankings or awards need Redhawk approval prior to their use in any materials. Proper disclosure must be used along with the third-party ranking or award.Third-Party Rankings & Awards Disclosure1. Advisor Name* First Last 2. What is the name of the ranking or award?*3. Who is the sponsor or publisher of the ranking or award?*4. What year was it awarded?*5. Why did you receive the ranking or award?*6. Did the ranking or award pertain to your advisory practice?*7. Does the advertisement disclose the criteria on which the rating was based?* Yes No Please explain.*8. Have you advertised any favorable rating without disclosing any facts that you know would call into question the validity of the rating? (Ex. An advisor knows that it has been the subject of numerous client complaints relating to the rating category or in areas not included in the survey.)* Yes No Please explain.*9. Are you advertising any favorable ratings without also disclosing any unfavorable ratings?* Yes No Please explain.*10. Does the advertisement state or imply that you were top-rated in a category when it was not rated first in that category?* Yes No Please explain.*11. In disclosing the rating or designation, does the advertisement clearly and prominently disclose: (1) the category for which the rating was calculated or designation determined, (2) the number of persons surveyed in that category, and (3) the percentage of persons that received that rating or designation?* Yes No Please explain.*12. Does the advertisement disclose that the rating may not be representative of any one client’s experience because the rating reflects an average of all or a sample of all of the experiences of your clients?* Yes No Please explain.*13. Does the advertisement disclose that the rating is not indicative of your future performance?* Yes No Please explain.*14. Does the advertisement disclose prominently who created and conducted the survey?* Yes No Please explain.*15. Does the advertisement prominently disclose that you paid a fee to participate in the survey?* Yes No Not applicable/Did not pay a fee Please explain.*Signature*Date* MM slash DD slash YYYY