Legal & Regulatory

DC Advisory provides this website for your informational purposes only.  By entering this website, you agree to the website’s terms and conditions.

Effective 3/1/2018,  Signal Hill Capital Group LLC (CRD 122782) merged into Sagent Advisors, LLC (CRD 129919) and formed Daiwa Corporate Advisory LLC (f/k/a DCS Advisory LLC).  DC Advisory is a U.S. broker-dealer registered with the U.S. Securities and Exchange Commission (“SEC”) and a member of the Financial Industry Regulatory Authority (“FINRA”).  To the extent the services you request are provided by one of our affiliates, we will refer you to the proper affiliate.

DC Advisory and DC Advisory US are trade names for Daiwa Corporate Advisory LLC.

DC Advisory is a Daiwa Securities Group company.

Information provided on this website regarding particular transactions may not be representative of the experience of all clients, as all transactions vary, and is no guarantee of future performance or success.

Anti-Money Laundering

To help the government fight the funding of terrorism and money laundering activities, U.S. federal law and regulation requires all financial institutions to obtain, verify, and record information that identifies each customer. Accordingly, in order to verify the identity of its clients, DC Advisory will ask for the name, address, and other relevant information when on-boarding a new client, including identifying documents such as articles of incorporation.

Business Continuity Planning

Overview

DC Advisory 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 us.dcadvisory.com for any relevant alternative contact information, and monitor your voice mail and e-mail for communications from us.

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 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.

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.  The firm does not hold any customer funds or securities.

The DC Advisory Business Continuity Plan is reviewed periodically and subject to change without notice. A written copy of the summary of the plan is provided to customers upon request.

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