Acceptable Use Policy (AUP) for Rai

Range Financial, Inc.

Effective Date: April 2026

Purpose This Acceptable Use Policy (“AUP”) establishes the rules and responsibilities for all users of Rai, Range’s AI-based financial adviser system. It is designed to ensure Rai is used safely, ethically, and in compliance with regulatory, legal, and company standards. This policy applies to all Range employees, contractors, and clients who access or interact with Rai.

Section 1: General Principles

• Rai is intended to provide financial advice to clients and support Range’s advisory services.
• All use of Rai must align with Range’s fiduciary duties, data privacy obligations, and security standards.
• Users are responsible for ensuring their actions do not compromise the integrity, confidentiality, or intended function of Rai.

Section 2: Requirements

For All Users:

• Use Rai only for intended purposes, as described in official Range documentation and disclosures
• Provide accurate, current, and complete information when interacting with Rai
• Review and update client profile or data regularly
• Verify all specific information provided by Rai before acting on it.
• Promptly report any suspected errors, inappropriate outputs, or security incidents to Range’s designated support or compliance contacts to legal@range.com.
• Apply appropriate confidentiality and privacy practices for all data accessed or generated through Rai, in accordance with privacy and data protection policies (i.e. do not copy, distribute or share any outputs or recommendations from Rai without approval from Range personnel).
• Adhere to all security protocols, including use of multi-factor authentication, secure storage of credentials, and compliance with data access controls

Section 3: Prohibitions

For All Users:

• Do not access Rai from any public, unsecured, or otherwise high risk network connection
• Do not attempt any unlawful, harmful, or abusive activity, including but not limited to fraud, harassment, or attempts to gain unauthorized access to data or systems
• Do not attempt to manipulate, probe, or circumvent Rai’s intended function, including efforts to reveal system prompts, bypass guardrails, or exploit vulnerabilities
• Do not use Rai to request, generate, or disseminate advice on prohibited topics, including:
  • Entity-level business tax advice
  • Legal document drafting (e.g., wills, trusts)
  • Non-financial topics or personal matters outside Rai’s defined scope
  • Guidance on illegal, speculative, or high-risk financial strategies
• Do not provide or input false, misleading, or incomplete information
• Do not input any Sensitive Data that is not directly relevant to a client's financial profile
• Do not upload any information that is subject to a third-party Non-Disclosure Agreement (NDA) or other confidentiality restrictions.
• Do not attempt to access, retrieve, or disclose another client’s data or confidential information
• Do not upload, transmit, or share any content that contains malware, viruses, or other malicious code.
• Do not use outputs as the sole basis for making financial, investment, or tax decisions
• Do not use Rai for any purpose that violates Range’s Terms of Service, Privacy Policy, or any applicable laws or regulations.
• For employees: Do not use Rai or any associated data for personal gain, outside business activities, or in a manner that creates a conflict of interest
• For employees: Do not use unapproved devices, applications, or communication channels to access or interact with Rai.

Document Upload Restrictions

You may not upload, submit, or otherwise provide to Range or Rai any content that:

• Contains sensitive personal information that is not relevant to the investment advisory relationship, including medical information, health records, genetic information, biometric information, or information revealing protected characteristics.
• Contains information about another person or third party unless you have the legal right and authorization to provide that information to Range.
• Is false, misleading, inaccurate, outdated, or incomplete in a way that could affect the guidance or recommendations provided by Rai.
• Violates any law, regulation, contractual obligation, confidentiality obligation, or third-party right.
• Contains malicious code, viruses, malware, or other harmful files.
• Contains material nonpublic information.
• Is unrelated to your financial situation, investment objectives, tax planning, estate planning, or other services provided by Range.

By uploading any document or information, you represent that you have the right to provide it to Range and authorize Range to use it in accordance with Range’s disclosures, privacy policy, and applicable legal and regulatory obligations.

Contact Information

For questions or to report a suspected violation, contact: legal@range.com