Regulatory
United States
Daiwa Corporate Advisory LLC is a broker-dealer registered with the US Securities and Exchange Commission (the “SEC”), member of the Financial Industry Regulatory Authority (“FINRA”) and member of the Securities Investor Protection Corporation (“SIPC”). Daiwa Corporate Advisory LLC is also referred to as DC Advisory US. DC Advisory operates out of offices in Chicago, New York, San Francisco and Washington, DC.
Business Continuity Planning
Overview
DC Advisory US has developed a Business Continuity Plan setting forth how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information about our business continuity plan.
Contacting Us – If after a significant business disruption you cannot contact us as you usually do, you should call our alternative number (202-908-4000), consult our web site at www.dcadvisory.com for any relevant alternative contact information, and monitor your voice mail and e-mail for communications from us.
Business Continuity Plan
Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative means of communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; and regulatory reporting. Depending on the nature of the business disruption, the Firm may leverage both alternative locations and virtual or “at home” resources. The Firm does not hold any customer funds or securities.
We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
The DC Advisory Business Continuity Plan is reviewed periodically and subject to change without notice. If you have any questions about our Business Continuity Plan, please contact us at DC Advisory, 605 Third Avenue, 11th Floor, New York, NY 10158 Attn: Compliance Department
Customer Complaints
In accordance with Exchange Act Rule 17a-3(a)(18)(ii), we are furnishing this statement to provide you with a name, telephone number and address, if you ever need to report or notify us of a possible complaint. If, for any reason, you feel you have a complaint, please contact our Chief Compliance Officer immediately by telephone at 212-904-9400, or by mail at:
DC Advisory, 605 Third Avenue, 11th Floor, New York, NY 10158 Attn: Compliance Department
Anti-Money Laundering
Under US regulations, we are required to obtain, verify, and record information to verify the identity of each entity or individual that becomes a client of DC Advisory US or otherwise enters into a formal business relationship with us.
When you enter into a client relationship with us, we are required to obtain your legal name, date of birth (or, for entities, formation), address, and identification number. For legal entities, we may require documentation showing the existence of the entity, such as a certified copy of the entity’s formation document (e.g., articles of incorporation), a government issued business license, a partnership agreement, or a trust instrument. For legal entities, we are also required to obtain, verify, and record information about each 25% beneficial owner and one individual who has significant responsibility for managing the entity, which may include personal identifiable information. We may request further documentation from you, and we may use third-party sources to verify information you provide to us or to obtain additional information.
We must keep a copy of the documents you provide to us, or that we receive from outside sources, in our files for certain time periods required by applicable regulation. In some instances, we may share the documents with our affiliates. We will take care to preserve the confidentiality of all information and documentation we receive from you or concerning you, however we are obligated to provide a copy of such documentation to regulatory authorities upon request. This applies whether you become a client of the Firm, and applies after you are no longer a client of the Firm.
United Kingdom
Daiwa Corporate Advisory Limited is authorised and regulated by the Financial Conduct Authority and is registered as a company in England (number 3067616). The registered office is 5 King William Street, London, EC4N 7DA.
Daiwa Corporate Advisory Limited is also referred to as DC Advisory UK.
France
Daiwa Corporate Advisory SAS is registered in France (Siret 391 636 701). The registered office is 17 R du Surène, 75008 Paris.
Daiwa Corporate Advisory SAS is also referred to as DC Advisory France.
Germany
Daiwa Corporate Advisory GmbH is registered in Germany (Local Court: Frankfurt, Commercial registration number: HRB 40158 and VAT registration number DE 136744100). The registered office is Neue Mainzer Str. 1, D-60311 Frankfurt. Managing Director: Dr. Wolfgang Kazmierowski. Responsible for the content according to § 10 section 3 of the MDStV (Media Service Treaty): Dr. Wolfgang Kazmierowski.
Daiwa Corporate Advisory GmbH is also referred to as DC Advisory Germany.
Italy
Services in Italy are provided by Daiwa Corporate Advisory S.R.L.
Milan Companies' Register Registration Number: 10998670961
Daiwa Corporate Advisory S.R.L. is also referred to as DC Advisory Italy.
Poland
Daiwa Corporate Advisory GmbH Sp. z o.o. Oddział w Polsce is registered in Poland, and is a branch office of Daiwa Corporate Advisory GmbH. The registered office is Rondo ONZ 1, 00-124 Warszawa.
Daiwa Corporate Advisory GmbH Sp. z o.o. Oddział w Polsce is also referred to as DC Advisory Poland.
Spain
Daiwa Corporate Advisory SL is a registered company in Spain (commercial registration number: B86809936). The registered office is Calle Montalbán 9, Madrid 28014, Spain
Daiwa Corporate Advisory SL is also referred to as DC Advisory Spain.
India
Daiwa Corporate Advisory India Private Limited (CIN: U74992KA2012PTC062363) is incorporated in India and a subsidiary of Daiwa Corporate Advisory LLC’s parent company, Daiwa Corporate Advisory Holdings Inc.
Its registered office is at 40 Vittal Mallya Road, Bangalore 560 001 and has a branch office in Mumbai
Daiwa Corporate Advisory India Private Limited is also referred to as DC Advisory India.
Asia
DC Advisory services are provided in Asia by the M&A teams within Daiwa Securities Group Inc. across Asia.
Daiwa Securities Group Inc. is the common owner of the DC Advisory entities listed above, which we refer to as the “DC Advisory Group.” Further information can be found on the Daiwa website.
