H.C. Wainwright & Co., LLC’s Business Continuity Plan

H.C. Wainwright & Co., LLC has developed a Business Continuity Plan on 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 on our business continuity plan.

Contacting Us – If, after a significant business disruption, you cannot contact us as you usually do at 212-356-0500, you should visit our website at www.hcwco.com.  If unable to reach us through either of those means, please contact our clearing firm(s) for instructions on how you may obtain prompt access to funds and securities, enter orders and process other trade-related, cash, and security transfer transactions. Currently, our Firm uses Mirae Asset Securities (USA) Inc. (Mirae) and RBC Capital Markets Clearing & Custody (RBC) for clearing services.  You can contact Mirae via phone at 212-407-1000 or by visiting Mirae’s website at https://miraeassetsecuritiesus.com/. RBC can be reached via phone at 612-371-7830 or by visiting RBC’s website at https://www.rbcclearingandcustody.com/.

Our Business Continuity Plan – 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 BCP is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data back-up 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 if we are unable to continue our business.

For more information – If you have questions about our business continuity planning, you can contact us at info@hcwco.com.

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H.C. Wainwright & Co., LLC is an Investment Bank and registered Broker/Dealer. Member of SIPC / FINRA.

H.C. Wainwright & Co., LLC makes the information on this website (“site”) available as a service to visitors, to be used for informational purposes only.

For any questions regarding H.C. Wainwright & Co., LLC compliance policies or procedures, please contact our Chief Compliance Officer: compliance@hcwco.com.

H.C. Wainwright & Co. blends traditional values with innovative services, operating with integrity and offering leading-edge investment banking, corporate finance, and strategic advisory services to public and private growth companies across multiple sectors and regions.