Disaster Recovery Plan

Patriot Act:

Under Section 326 of the USA PATRIOT Act, Harris Williams & Co. and its affiliates are required to verify the identity of their clients. Harris Williams utilizes the services of outside vendors, such as Dun & Bradstreet, to assist with this government-mandated requirement. We appreciate your business and patience with our compliance efforts.

Regulatory Information Regarding Harris Williams LLC
Investment banking services are provided by Harris Williams LLC, a registered broker-dealer and member of FINRA and SIPC, and Harris Williams & Co. Ltd, an Appointed Representative of Sturgeon Ventures LLP, which is Authorised and Regulated by the Financial Services Authority. Harris Williams & Co. Ltd is a private limited company registered in England and Wales (Reg. #07078852) with a trading office at 29 Farm Street London, W1J 5RL and a registered office at 201 Bishopsgate London EC2M 3AF. Sturgeon Ventures LLP is a limited partnership (Reg. # OC319614) with a trading office at 2nd floor, 4 Broadgate, London EC2M 2QY and a registered office c/o Haggards Crowther, Matrix Studios, 91 Peterborough Road, London SW6 3BU. Sturgeon Ventures LLP is authorised and regulated by the Financial Services Authority FRN #452811.

Harris Williams & Co. is a trade name under which Harris Williams LLC and Harris Williams & Co. Ltd conduct business in the U.S. and Europe, respectively.