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In accordance with recent regulations enacted by the Financial Industry Regulatory Authority, 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 with our current status and instructions for our customers, as well as the main voice mail greeting at the headquarters. We will also attempt to monitor, and respond to, customer emails from outside of the office.
In the event of a city-wide disruption, we will seek to relocate our company to an unaffected area and restore normal business operations as soon as possible. Customers may also contact our clearing firm, Legent Clearing LLC., in the event they are unable to contact us, for access to their funds and securities.
E1 is a member SIPC. In the event of firm failure which leaves E1 owing funds and securities to customers, SIPC will aid customers in return of their assets. Visit www.sipc.org for more information.
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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HEADQUARTERS:
E1 Asset Management, Inc.
WASHINGTON DC:
