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Artificial Intelligence (AI) & AI Agent Policy

Human-Led. Purpose-Driven. Responsibly Governed.

1. Guiding Philosophy

At RockYield Capital, we believe technology should serve people—not replace them.

AI and AI agents are powerful tools that can enhance analysis, efficiency, and communication. However, judgment, responsibility, care, and vision remain human responsibilities.

AI augments human potential; it does not substitute human accountability.

Every investment decision, investor interaction, and strategic outcome remains grounded in human discernment, integrity, and stewardship.

2. Purpose of AI Use at RockYield Capital

AI and AI agents may be used to:

  • •Enhance research and data organization
  • •Improve operational efficiency
  • •Support internal analysis and scenario modeling
  • •Assist with communication drafting and translation
  • •Help scale investor education and responsiveness

AI is never used to:

  • ×Replace human investment decision-making
  • ×Provide tax, legal, or financial advice
  • ×Make autonomous capital allocation decisions
  • ×Communicate binding commitments to investors
  • ×Override approved governance processes

3. Human-in-the-Loop Requirement

RockYield operates under a strict Human-in-the-Loop (HITL) model.

This means:

  • •All AI-generated outputs are reviewed by qualified human personnel
  • •No AI agent may act independently on behalf of the firm
  • •Final authority always rests with a designated human decision-maker
  • •Accountability is never delegated to technology

AI supports decisions.
Humans own decisions.

4. Investment Decision Safeguards

AI and AI agents:

  • •May assist with data aggregation, pattern recognition, and scenario exploration

AI and AI agents:

  • ×May not approve, execute, or finalize any investment decision
  • ×May not modify underwriting standards or risk parameters
  • ×May not substitute the Investment Committee or General Partner authority

All capital deployment decisions are made:

  • • By human leadership
  • • Under established investment committee processes
  • • In alignment with the firm's principal-first mandate

5. Investor Communication Standards

AI may be used to assist with:

  • • Drafting educational content
  • • Translating materials
  • • Structuring responses for review

AI may not:

  • × Make representations about performance or guarantees
  • × Provide individualized investment advice
  • × Negotiate terms
  • × Substitute direct human interaction when material decisions are involved

All investor-facing communications are reviewed by human personnel, aligned with compliance standards, and delivered with clarity, honesty, and care.

6. Ethical Use & Integrity

RockYield commits to using AI ethically and responsibly.

We do not use AI to:

  • × Manipulate, mislead, or pressure investors
  • × Create false urgency or emotional leverage
  • × Misrepresent risks, returns, or outcomes
  • × Imitate individuals deceptively

Transparency and integrity apply equally to technology and people.

7. Data Privacy & Confidentiality

AI systems are used in a manner consistent with confidentiality obligations, data protection standards, and internal access controls.

Sensitive investor information is:

  • • Never shared with unauthorized systems
  • • Never used to train public AI models
  • • Handled under strict internal protocols

8. Oversight & Accountability

AI usage is subject to ongoing oversight by senior management, compliance and governance functions, and designated AI supervisors (human).

RockYield reserves the right to:

  • • Limit or discontinue AI tools at any time
  • • Modify AI usage policies as technology evolves
  • • Audit AI-assisted workflows regularly

Failures or misuse of AI remain a human responsibility, not a technological excuse.

9. Alignment With Our Values

Our approach to AI reflects our broader values:

  • • Stewardship — Technology is entrusted, not blindly trusted
  • • Discipline — Tools are used intentionally, not indiscriminately
  • • Integrity — Truth matters more than efficiency
  • • Humility — We recognize the limits of models and systems
  • • Service — Outcomes should benefit people, not just processes

10. Closing Statement

AI can expand what we are capable of doing. It cannot replace why we do it.

At RockYield Capital, we use AI to augment human insight, not to remove the human heart from investing.

Every decision remains rooted in:

  • • Care for investors
  • • Responsibility to families
  • • Respect for communities
  • • Accountability before one another

Technology may scale speed.
Values scale trust.

Effective Date: Immediately

Reviewed By: RockYield Capital Leadership

Applies To: All AI tools, AI agents, and automated systems used by or on behalf of RockYield Capital