Additional Securities Broker Dealer-Related Notices and Disclosures
In respect of SDR Capital Markets, Inc. as a securities broker dealer, and in addition to any others contained herein, the following notices and/or disclosures shall apply:
Anti-Money Laundering Notice:
Important Information About Procedures for Opening a New Account
To help the government fight the funding of terrorism and money laundering activities, federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.
What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver’s license or other identifying documents.
SDR Capital Markets, Inc. does not open, maintain and/or provide any advice regarding any customer accounts.
Questions, Concerns or Complaints may be directed to SDR Capital Markets, Inc., Attn: General Counsel, 5613 DTC Parkway, Suite 830, Greenwood Village, CO 80111, 720-221-9220.
Business Continuity Disclosure Statement:
Business Continuity Planning by SDR Capital Markets, Inc.
SDR Capital Markets, Inc. (the “firm”) has developed a Business Continuity Plan (“BCP”) on how the firm will respond to events that significantly disrupt the firm’s business. Since the timing and impact of disasters and disruptions are unpredictable, the firm will have to be flexible in responding to actual events if, when and as they occur. With that in mind, the firm is providing you with this information regarding the firm’s BCP.
Contacting Us – If after a significant business disruption you cannot contact the firm as you usually do at 720-221-9220, you should please go to the firm’s website, www.sdrventures.com. If the firm’s website is not available, please feel free to attempt to telephone your principal contact with the firm by calling his/her cell phone number.
Our BCP – The firm plans to quickly recover and resume its business operations after a significant business disruption and respond by safeguarding the firm’s personnel and property, making a financial and operational assessment, protecting the firm’s books and records, and enabling the firm’s investment banking clients to transact business. In short, the firm’s BCP is designed to permit the firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption and given the firm’s particular business scope.
The firm’s BCP addresses, as may be applicable to the firm: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with clients, employees, and regulators; alternate physical location of employees; and critical supplier, contractor, bank and counter-party impact; regulatory reporting.
Varying Disruptions – Significant business disruptions can vary in their scope, such as affecting only this firm, a single building housing the firm’s home office, the business district where the firm is located, the city where the firm’s home office is located, the whole geographic region or even beyond the firm’s particular geographic region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption applicable only to the firm or a building housing the firm’s home office, the firm will transfer its operations to a local site when needed or appropriate, and the firm expects to recover and resume business within one business day. In a disruption affecting the firm’s business district, city, or region, the firm will transfer its operations to a site outside of the affected area, and expects to recover and resume business within three business days. In either situation, the firm plans to continue in business and (if available) contact you via cell telephone communications and/or notify you via the firm’s website, www.sdrventures.com. If the significant business disruption is so severe that it prevents the firm from remaining in business, the firm will wind up its affairs in an orderly fashion and provide information in such regards via appropriate communication means then available.
The firm’s BCP is subject to modification. Updates will be promptly posted on the firm’s website, and any updated BCP also will be furnished upon request.
For more information – If you have questions about the firm’s our business continuity planning, you may contact the firm at 720-221-9220.
Particular Financial Industry Regulatory Authority (“FINRA”) Matters:
Note: A firm’s membership in FINRA does not state or imply that FINRA or any regulatory authority or any self-regulatory organization endorses, indemnifies, or guarantees the FINRA member’s business practices, selling methods, the class or type of securities offered, or any specific security. FINRA Rule 2210(e)(1).
Note also: This Site is intended to comply with FINRA Rule 2210(e)(3) regarding any indications of FINRA membership.
- FINRA’s website is www.finra.org.
- FINRA’s main phone number is: 301-590-6500.
- The FINRA BrokerCheck Hotline number is: 800-289-9999
- This telephone number can be used for assistance with checking the background of a broker or brokerage firm, or an investment adviser or investment representative.
- FINRA BrokerCheck may be accessed via FINRA’s website, as follows: http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm.
- An investor brochure is available on request.
- FINRA’s Investor Complaint Center may be accessed electronically as follows: http://www.finra.org/Investors/ProtectYourself/p118628
- The FINRA Investor Complaint Center may be contacted as follows:
- 9509 Key West Avenue, Rockville, MD 20850-3329
- Phone: 240-386-HELP (4357)
- Fax: 866-397-3290
Particular United States Securities and Exchange Commission (“SEC”) Matters:
- The SEC’s website is www.sec.gov.
- A complaint or enforcement tip may be filed electronically or made electronically with the SEC as follows: http://www.sec.gov/complaint.shtml
- That site also contains information for “Whistleblowers”
- The SEC’s Complaint Center also may be contacted as follows:
- Securities and Exchange Commission
- Complaint Center
- 100 F Street, NE
- Washington, DC 20549-5990