Legal Notices

Legal Notices

Terms of Use | Business Continuity Plan | Privacy Policy 
 

Terms of Use

Qatalyst Partners LP, Qatalyst Partners Limited and Qatalyst Partners LLC (collectively, "Qatalyst", "we", or the "Firm") provide this website, www.qatalyst.com, for informational purposes only. By accessing this website (the "Website"), you agree to the following terms and conditions of access without limitation or qualification.

Use of the Website 
The entire content of the Website is subject to copyright with all rights reserved. The information provided in the Website is for personal use and informational purposes only and is not intended for distribution to, or use by, any person in any jurisdiction where such distribution or use would be contrary to law or regulation or which would subject Qatalyst or any of its affiliates to any registration requirement within such jurisdiction. You may not reproduce (in whole or in part), transmit (by electronic means or otherwise), modify, link into or use for any public or commercial purpose the Website without the prior written permission of Qatalyst.

No offer 
Nothing contained in the Website constitutes an offer under any applicable law or legislation or an offer to sell or a solicitation or offer to buy any securities, financial instruments or financial services. Nor shall the Website, nor any part of it, form the basis of, or be relied on in connection with, any contract or commitment whatsoever.

No advice 
Nothing contained in the Website constitutes investment, legal, tax or other advice nor is it to be relied upon in making an investment or other decision. You should obtain relevant and specific professional advice and check the accuracy of all relevant information before making any investment decision.

No warranty 
While Qatalyst endeavors to ensure that information contained in the Website is accurate, neither it nor any of its affiliates are responsible for, or give any undertaking, representation or warranty as to, the accuracy, usefulness, availability, reliability or completeness of any material, information, news or opinions contained in or provided in connection with the Website. Neither Qatalyst nor any of its affiliates make any warranty or representation that (i) the Website will be uninterrupted, timely, secure or error-free, (ii) the results that may be obtained from the use of the Website will be accurate or reliable, (iii) the quality of any products, services, information or other material purchased or obtained by you through the Website will meet your expectations, (iv) the Website will meet your requirements, or (v) any errors in the Website will be corrected. To the fullest extent permitted by applicable law, Qatalyst and its affiliates expressly disclaim all warranties, conditions and other terms of any kind, whether express or implied, including, but not limited to, any implied term of satisfactory quality, fitness for purpose, and any term as to the provision of services to a standard of reasonable care and skill or as to the non-infringement of any intellectual property right.

Limitation of liability 
Your use of this website is at your sole risk. This website is provided on an "as is" and "as available" basis. To the fullest extent permitted by applicable law, neither Qatalyst nor any of its affiliates shall be liable to any user of the Website for any loss or damage of any kind (including, but not limited to, lost profits or business interruption), without regard to the form of action and whether in contract, tort, negligence, strict liability or otherwise, arising out of or in connection with (i) access to, performance of, browsing in or linking to other sites from the Website, (ii) reliance on any information contained in the Website, (iii) any error, fault, computer virus, hacking or other phenomenon affecting data or the transmission of data in the Website, or (iv) use of the Website in any way.

Changes to the Website 
Qatalyst and its affiliates shall have no responsibility for monitoring or updating the Website, and reserve the right in their absolute discretion to amend, alter, redesign, change, add to or remove material from the Website or anything contained in it, at any time without notice or liability.

Material interests 
Qatalyst, its affiliates and/or any directors, officers and employees of the foregoing may have or have had interests or positions or traded in relevant securities. Furthermore, such entities or persons may have or have had a relationship with or may provide or have provided corporate finance or other services to, or serve or have served as directors of, relevant companies. Companies in which investments are made may compete with one another.

Linked sites 
Qatalyst, its affiliates and/or any directors, officers and employees of the foregoing are not responsible for and do not endorse the content of any third party that is accessed through links or advertisements contained in the Website, nor is any representation made as to the regulatory status of any such third party.

UK regulatory information 
Access to the Website in the UK is provided solely by Qatalyst Partners Limited (Firm Reference Number 624571). Qatalyst Partners Limited is authorised and regulated by the Financial Conduct Authority and provides the Website to professional clients and eligible counterparties only in accordance with section 21 of the Financial Services and Markets Act 2000. Qatalyst Partners Limited is a limited liability company registered in England and Wales (registered number 07844621) whose registered address is 14 Clifford Street, London W1S 4JU.

Applicable law 
English law governs access to and use of the Website in the UK. If you access this site from outside the UK you are responsible, to the extent permitted by local law, for compliance with any local laws relating to access.

Under applicable U.S. Federal and State law and regulation, certain private M&A advisory activities are exempt from regulatory registration with applicable U.S. authorities. Qatalyst Partners LLC engages in those private M&A advisory activities and as such is exempt from registration in the U.S. with the U.S. Securities and Exchange Commission ("SEC"), or with state regulatory authorities. Activities requiring such registration are carried out by Qatalyst Partners LP, which is registered with the SEC and which is a member of FINRA. 

Trademarks 
"Qatalyst", Qatalyst Group LP, Qatalyst Partners LP , Qatalyst Partners Limited, Qatalyst Partners LLC and Qatalyst Capital Partners LP are either trademarks or registered trademarks in the U.S., UK and/or other countries. All rights reserved.


  

Business Continuity Plan

Qatalyst maintains a Business Continuity Plan ("BCP") that is designed to ensure the continuation or prompt resumption of our business in the event of a significant business disruption ("SBD"). Such a disruption might include a blackout, an act of terrorism, severe weather, or natural disaster that disrupts our business and/or facilities. The Firm's BCP calls for us to contact clients in the event that a significant business disruption is expected to impede client business. In the event of a SBD, the Firm will make reasonable effort to contact clients promptly if we perceive that the event may impede or significantly delay that client's business.

Firm Objectives 
Our BCP has been designed to address the following areas in the event of a SBD:

  • To ensure and maintain the safety and security of all of the Firm's employees, consultants, temporary employees, trainees and interns.
  • To provide all staff of the Firm with procedures that will support a clear and focused response to an occurrence.
  • To provide the Firm's management and staff with sufficient information so that they can continue business and meet corporate commitments and client needs.
  • Minimize damage to business operations resulting from an emergency, by instituting a pre-determined and validated response mechanism and organizational structure.

Scope 
"Significant disruption" refers to local or regional events such as natural disasters, fires, power outages, acts of malice, pandemic, and technical or infrastructure disruptions. SBDs can range in level from building-specific events to regional issues. In the event of a SBD, our aim is to quickly resume business operations after (a) safeguarding our employees and property, (b) making a financial and operational assessment of the situation, and (c) protecting the Firm's books and records. The scope of business operations our BCP addresses includes:

  • Data backup and recovery
  • Financial and operational assessments
  • Alternate avenues of communication with our clients, employees, and regulators
  • Alternate physical locations in which to conduct business
  • Mission-critical systems
  • Regulatory reporting

Data Backup and Recovery 
Hard Copy Backup: In the event of an internal or external SBD that causes the loss of our paper records, we will physically recover them from our back-up site. If our primary site is inoperable, we will continue operations from our back-up site or an alternate location.

Electronic Backup: For the loss of electronic records, we will either physically recover the storage media or electronically recover data from our back-up site, or, if our primary site is inoperable, continue operations from our back-up site or an alternate location.

Financial and Operational Assessments 
Operational Risk: In the event of a SBD, our BCP addresses the Firm's ability to maintain communications with clients, employees, critical business constituents, critical banks, critical counter-parties, and regulators and to retrieve key activity records through its mission-critical systems.

Financial and Credit Risk: In the event of a SBD, our BCP addresses the Firm's ability to fund operations and maintain adequate financing and sufficient capital.

Alternate Avenues of Communication with our Clients, Employees, and Regulators. 
The Firm will establish and maintain communications through the most reliable and appropriate methods reasonably available given the severity of the SBD. This will include utilizing telephones, mail, e-mail or facsimile to communicate with clients, employees, and regulators.

Alternate Physical Locations in which to Conduct Business 
In the event of a SBD, the Firm will transfer operations to a predetermined disaster recovery site located in San Francisco or London (depending on where the disruption occurs), with a target recovery time of no greater than twenty-four hours. In the event of an internal or external SBD, if telephone service is available, our personnel will to the extent possible continue client business through telephonic and electronic means.

Mission-Critical Systems 
The Firm engages in investment banking activities. The Firm's mission-critical systems are those that ensure communication with clients, with other broker-dealers, and with transaction participants to ensure that transactions progress notwithstanding the occurrence of a SBD. Our BCP establishes procedures that enable the Firm to continue our business operations through (a) our alternate physical location or (b) at other locations that are decided upon by our senior management.

Regulatory Reporting 
In the event of a SBD, we will contact the SEC, FINRA, and other regulators to determine which means of reporting are available to us, and use the means closest in speed and form (written or oral) to our previous filing method. If we cannot contact our regulators, we will continue to file required reports using the communication means available to us, and we will keep hard copies of all filed materials.

Updates and Annual Review 
The Firm continuously tests throughout the year to improve our policies and procedures. Although we have taken significant steps to develop and implement sound business recovery plans, we cannot guarantee that systems will always be available or recoverable after a disaster or SBD. However, we believe that our planning for such events is robust and consistent with many of the best practices established within the industry. As a result, the Firm's BCP is reviewed periodically and subject to modification without notice. Any material changes to the above information will be available on our website or upon request. If you have further questions about our BCP or wish to receive a copy of our BCP, please contact our office at 415.844.7700 or by email at  This email address is being protected from spambots. You need JavaScript enabled to view it. .


 

Privacy Policy

Qatalyst is committed to protecting the privacy of its clients. We place a high priority on maintaining the confidentiality and security of the personal and account information that clients share with us in the normal course of doing business.

Information may be shared between the Firm’s employees, registered representatives, and affiliates. We do not disclose any nonpublic information about our customers or former customers to anyone else, except as permitted by law. Moreover, the Firm expects to collect nonpublic personal information relating to non-institutional clients solely for the purpose of passing that information on to (a) issuers, in issuer private placements, or (b) underwriters, in underwritten transactions. In either case, the client will specifically consent to that use of such subscription information.

We only use information about you and your accounts to help provide you with better service, respond to communications from you, make it more convenient for you to transact business with the firm or to comply with legal and regulatory requirements.

We provide access to information about you to non-affiliates in certain limited circumstances, including: 

  • to lawyers, accountants, and others in order to permit those persons to discharge their responsibilities to the Firm;
  • to other broker-dealers, where you have indicated an interest in purchasing securities in a public offering where we and such other broker-dealers are acting together;
  • to issuers, where you have indicated an interest in purchasing securities directly in a private placement.

We maintain physical, electronic and procedural safeguards to protect your personal information.

If you prefer to limit the sharing of your information, please contact us at 415.844.7700.

Member FINRA/SIPC | © 2013 Qatalyst Partners | All Rights Reserved  | Legal Notices

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