Disclaimers & Legal Disclosures
Business Continuity Plan
Great American Capital Partners (“GACP”) is a subsidiary of B. Riley Capital Management, LLC (“BRCM”), a SEC registered investment adviser. BRCM, together with its parent, B. Riley Financial, Inc. (Nasdaq “RILY”) and its affiliates (collectively The “Company”) has developed a Business Continuity Plan (“BCP” or “Plan”) to respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, the Plan is designed to be flexible to respond to events as they occur so that the firm can quickly recover and resume business operations.
Significant business disruptions and their degree of severity can vary in size and scope. The Company plans to quickly recover and resume business operations after a significant business disruption and to respond by safeguarding our employees and property, making a financial and operational assessment, and protecting the firm’s books and records.
The Plan addresses, among other things: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities.
The Company will notify clients through our web site how to contact us and when we expect business operations to resume. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.
If you have questions about our business continuity planning, please contact our Chief Compliance Officer at 310-689-2220.
GACP is a subsidiary of BRCM an SEC registered Investment Advisor. Registration with the SEC as an investment adviser does not imply that any principals or employees of either BRCM or GACP possess a particular level of skill or training in the investment advisory or any other business. Emails sent to, or received by, either BRCM or GACP and the information contained therein are proprietary and confidential and intended for the recipient of the email only; use by recipients other than those intended is prohibited. Any recommendation contained in any email may not be suitable for all investors. Moreover, although the information contained in any email has been obtained from sources believed to be reliable, its accuracy and completeness cannot be guaranteed. BRCM reviews and archives outgoing and incoming e-mails and such emails may be produced at the request of regulators and/or in connection with certain legal proceedings. Sender accepts no liability for any errors or omissions arising as a result of transmission. Neither the information nor any opinion expressed herein constitutes an offer or a solicitation of an offer to buy or sell securities. Securities are introduced through B. Riley & Co., LLC, member FINRA & SIPC, and an affiliate of BRCM. For additional information contact BRCM at 310-966-1446.
Please note that any instant message sent from or received by GACP or BRCM personnel is subject to archiving, monitoring and production to third parties as required by applicable rules, regulations and law. Instant messages and emails may be viewed by someone other than the intended recipient.
The material located on this website is for informational purposes only and is not intended as a solicitation to buy or sell any securities or other financial instrument or to provide any investment advice or service. Information included on this website is subject to change at any time without notice. The Company does not guarantee the timeliness, accuracy or completeness of information included on this website nor does it take responsibility for content contained at hyperlinked sites. Past performance should not be taken as an indication of guarantee of future performance and no representation, express or implied, is made regarding future performance. The Company does not provide tax advice; clients should contact their attorney, accountant, or other tax adviser regarding tax matters. GACP is a subsidiary of B. Riley Capital Management, LLC, an SEC registered Investment Advisor. Registration with the SEC as an investment adviser does not imply that GACP or any principals or employees of GACP possess a particular level of skill or training in the investment advisory or any other business.
For additional information, please contact GACP at 310-966-1446.