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In accordance with recent regulations enacted by the Financial Industry Regulatory Authority
(FINRA), E1 Asset Management, Inc. has developed a comprehensive business continuity and contingency plan. While we certainly hope we will never have to put this plan into effect, we have made comprehensive policies to ensure we will continue to be able to provide our customers with access to their funds and securities in the event of a business disruption.
E1 Asset Management will make every effort to inform our customers of the company's status as soon as possible following a major business disruption. If able, we will update our website
and main voice mail greeting with our current status and instructions for our customers. We will also attempt to monitor and respond to customer emails from outside of the office.
In the event that we cannot be reached, customers may also contact our clearing
firm, Pershing LLC, for access to funds and securities. We will seek to relocate our company to an unaffected area and restore normal business operations as soon as possible. Pershing has created its own business continuity plan, which you will receive in a separate mailing.
Please be advised that due to the unpredictable nature of events, this document is only a general guideline. You are strongly encouraged to maintain this document and the enclosed contact information in a safe place in the event you are unable to reach your representative. We may revise this plan at any time to better address possible events. An updated plan will be available at our website,
http://www.e1am.com. You may also request a copy of the plan by calling 212-440-2042, or sending an email to
operations@e1am.com.
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