Any employee, shareholder, or any other person may report complaints about IFMI’s accounting, internal accounting controls, or auditing matters or other concerns to the board of directors by sending such concerns by US mail to: Institutional Financial Markets, Inc, Attention: Board of Directors, 2929 Arch Street-17th Floor, Philadelphia, PA 19104. If the concerns expressed require confidentiality, then this confidentiality will be protected, subject to applicable law, regulation or legal proceedings. Concerns relating to IFMI’s accounting, internal accounting controls, or auditing matters will be referred to members of the audit committee. All other concerns will be referred to the presiding director of IFMI’s board of directors.
The Company also has a compliance hotline, which can be reached by calling 800-399-3595.