Middle Market Investment Banking

Business Continuity

Disclosure notice to clients

Eureka Capital 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 discruption you cannot contact us as you usually do at either our California office: 949.719.2260; or New York office: 646.277.8420, you should call the following alternative numbers: Bruce Altman 646.277.8426; Mark Hyman 646.239.0142 or go to our website at www.www.eurekacap.com for any posted updates about the status of the business discruption to our offices and contact information.

Our business continuity plan

We plan to quickly recover and resume business operations after a significant business discruption and respond by safeguarding our employees and property, protecting the firms books and records, and continuing to transact business with our clients. 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 dicruption.

Our business continuity plan addresses: data backup and recovery; alternative communications with customers, employees, and regulators; and alternate physical location of employees.

Varying discruptions

Significant business discruption can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the discruption can also vary from minimal to severe. In a discruption to only our firm or a building housing our firm, we will transfer our operations to offsite locations when needed and expect to recover and resume business within 24-48 hours.

In a discruption affecting our business district , city, or region, we will transfer our operations to offsite locations outside of the affected area, and attempt recover and resume business within 2-5 days depending on the severity of the discruption.

For more information

If you have questions about our business continuity planning, you can contact us at 949.719.2260 or eurekainfo@www.eurekacap.com.