Business Continuity Plan
Rock House Capital Advisors, LLC plans 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 company’s business continuity plan is designed to permit us to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
The business continuity plan addresses: data backup 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.
Significant Business Disruptions: The Company’s plan takes into account two kinds Significant Business Disruptions, internal and external. Internal significant business disruptions affect only the Company’s ability to communicate and do business, such as a fire or loss electrical power in the office or building. External significant business disruptions prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a natural disaster, or another event that causes a wide-scale, regional disruption in essential services.
Internal Significant Business Disruptions: In the event of a disruption in the Company’s business operations due an internal significant business disruption, the Company will attempt to continue to conduct business as usual by utilizing alternative communication methods (if available), such as the Internet, cell phones, etc., or by moving its operations to an alternative location. If personnel or operations must be moved to an alternate location, the Company anticipates that it will resume regular operations with 2-4 hours.
External Significant Business Disruptions: In the event of a disruption in the Company’s business operations due to an external significant business disruption, the Company will attempt to continue to conduct business as usual by moving its operations to an alternative location outside the affected area, if possible, or by providing customers with alternative communication arrangements, as indicated below, to conduct business. The Company will attempt to resume business within 24 hours and to keep its customers informed regarding relevant events to the best of its ability based on the circumstances.
In all cases, the Company will resume normal business operations as soon as it is able to do so based on the type and the extent of the disrupting event.
Communications: In the event you are unable to reach the Company at our main number, please proceed as follows:
1. Contact the Company at the following alternate telephone number: (832) 548-0654
2. Access the Company’s website at www.rockhouseca.com.
3. The Company offers securities through RHCA Securities LLC, a member of FINRA/SIPC. RHCA Securities can be reached at (832) 548-0654 or its offices at 5065 Westheimer Rd., Suite 604, Houston, Texas 77056.
Contact information: Any questions regarding the Company’s Business Continuity Plans should be addressed to: Tim Proffitt, Rock House Capital Advisors LLC, 5065 Westheimer Rd., Suite 604, Houston, Texas 77056.
Information We May Collect: We collect certain information required by regulatory authorities and certain information required for performing our services. We do this to help identify you as a client, provide our services, and tell you about products or services you may want. The information we collect may include: (a) Identity information – Such as your name, legal entity, Tax ID number, Social Security number, address and officers; (b) Information from third parties – we may also collect information from consumer reporting agencies such as verifying your identity through public records.
How We Treat Your Information: While providing mergers & acquisition and private placement services, we may share certain information described above with companies or investors in the ordinary course of providing our services. The sharing of this information will be subject to the confidentiality and sharing provisions as set forth in our engagement letter with you. We may provide information to regulatory authorities and law enforcement officials in accordance with applicable law or to others when we believe in good faith that the law requires it. In the event of a sale of all or part of our business, we may share customer information related to that business as part of the transaction. We do not sell or share your information with marketers who may want to offer you their own products and services. Neither do we share information we receive about you from a consumer-reporting agency. You do not need to take any action for this benefit.
Securing Your Information: Keeping your information secure is one of our most important responsibilities. We maintain physical, electronic and procedural safeguards to protect your information. Employees and agents are authorized to access your information only when they need it to provide you with products and services or to maintain your accounts.
Notice of Verification Of Client Identity
Rock House Capital Advisors LLC is a licensed investment banking firm. All securities transactions are processed through its wholly-owned subsidiary, RHCA Securities, LLC, a member of FINRA/SIPC. As required by Federal law or regulation, we must: (a) Obtain a copy of the certificate of incorporation, partnership agreement, or other document evidencing the establishment of the entity; and (b) Verify that a client, prospective client or investor and the principal officers of such client or investor do not appear on a list provided to us by the government, such as the Treasury Department OFAC “Specifically Designated Nationals and Blocked Persons” List (SDN List) and is not from, or engaging in transactions with people or entities from, embargoed countries and regions listed on the OFAC website.