The web site (“Harriswilliams.com” or the “Site”), located at www.harriswilliams.com, is owned and operated by Harris Williams LLC and its subsidiaries d/b/a/ Harris Williams & Co. (collectively “HW&Co.”). Any reference to “Harris Williams,” “we,” “us” or “our” in these Disclosures shall mean HW&Co. The Site includes all web pages accessible by the public. Any reference to “you” in these Disclosures shall mean any user of the Site, including without limitation employees of HW&Co. Please note that these Disclosures apply only to HW&Co. and not to other organizations or websites to which we may reference or link.
BUSINESS CONTINUITY PLAN
HW&Co.’s policy is to respond to a Significant Business Disruption by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records and continuing to conduct its business.
This plan contemplates two kinds of Significant Business Disruptions (SBD), internal and external. Internal SBDs affect only a single location’s ability to communicate and do business, for example, a fire in an office building. External SBDs prevent the operation of the securities markets or a number of firms; for example, a significant epidemic or a pandemic, including an influenza pandemic, a terrorist attack, a city flood, or a wide-scale, regional disruption. Response to an external SBD would be very similar to that for an internal SBD since HW&Co. does not trade securities and, therefore, does not rely on other organizations (such as clearing firms) to accomplish its work.
HW&Co. has deployed technology to enable its employees to work with flexibility and effectiveness from remote locations. Thus, in the event of an SBD that results in the loss of a particular facility, HW&Co. employees have the ability to work from remote locations (homes, temporary office space, hotels, etc.).
Since HW&Co.’s business is purely advisory, the firm does not hold any customer accounts, nor does it engage in transactions on its own or its clients’ behalf. HW&Co. provides investment banking advisory services only. HW&Co. does not maintain custody of any funds or securities, nor does HW&Co. direct any such to a clearing firm.
Electronic data is managed, replicated and backed up offsite at two secure facilities containing redundant power and cooling to sustain operations. Harris Williams backs up its electronic records daily. In the event of an internal or external SBD and the primary location is inoperable, the firm will continue operations from its backup site or an alternate location. For the loss of electronic records, HW&Co. will recover data from its backup site, or, if the primary site is inoperable, continue operations from the backup site or an alternate location.
In the event of a SBD, HW&Co. will immediately identify how to communicate with its customers, employees, critical business constituents and regulators. Although the effects of an SBD will determine the means of alternative communication, the communications options HW&Co. will employ will include telephone voice mail, secure e-mail, etc. HW&Co. will also post contact information on its website.
Under Section 326 of the USA PATRIOT Act, HW&Co. and its affiliates are required to verify the identity of their clients. HW&Co. utilizes the services of outside vendors, such as Dun & Bradstreet, to assist with this government-mandated requirement.
Investment banking services are provided by Harris Williams LLC and Harris Williams & Co. Ltd. Harris Williams & Co. is a trade name under which Harris Williams LLC and Harris Williams & Co. Ltd conduct business.
Harris Williams & Co. Ltd is a private limited company incorporated under English law having its registered office at Fifth Floor, 6 St. Andrew St. London EC4A 3AE, registered with the Registrar of Companies for England and Wales under company number 7078852. Directors: Mr. Ned Valentine, Mr. Paul Poggi, Mr. Thierry Monjauze and Mr. Aadil Khan, authorised and regulated by the Financial Conduct Authority.
Harris Williams & Co. Ltd Niederlassung Frankfurt (German branch) is registered in the Commercial Register (Handelsregister) of the Local Court (Amtsgericht) of Frankfurt am Main, Germany, under registration number HRB 96687, having its business address at Bockenheimer Landstrasse 33-35 60325 Frankfurt am Main, Germany. Permanent Representative (Ständiger Vertreter) of the Branch Niederlassung: Mr. Jeffery H. Perkins.
As an aid to the education and protection of the investing public, FINRA operates a toll-free information hotline and an Internet Website to disseminate information regarding the disciplinary history of FINRA members and their associated persons. Clients who wish to obtain a brochure which describes the FINRA Broker Check Program should contact FINRA through the hotline or via the Internet.
• Call the Broker Check Hotline at +1-800-289-9999. The hotline is open Monday through Friday, 8:00 am to 8:00 pm.
• Email FINRA through the broker check portal.
• Visit the Website: The Broker Check Program can be accessed through the Internet at www.finra.com.
Harris Williams LLC is a subsidiary of The PNC Financial Services Group, Inc. The PNC Financial Services Group, Inc. and its affiliates (“PNC”) are engaged in a broad range of financial services and securities activities. HW&Co. provides financial advisory services only and does not accept deposits, extend credit, or engage in trading on its own or its clients’ behalf.
EQUAL EMPLOYMENT OPPORTUNITY
HW&Co. is committed to principles of equal employment opportunity for all employees and applicants and, in accordance with applicable laws, does not discriminate on the basis of sex, race, color, religion, national origin, ancestry, age, marital status, disability, medical condition, sexual orientation, or on any other basis prohibited by law.
If you have any questions on this policy, please notify us at Harris Williams & Co., 1001 Haxall Point, 9th Floor, Richmond, Virginia 23219; email:firstname.lastname@example.org; and facsimile: +1 (804) 648-0073.
We reserve the right to change our Disclosures at any time.
Date of last update or revision: November 30, 2015.