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Business Continuity Plan

Last revised: 14 October 2020

FINRA Rule 4370 requires that a member firm disclose to its clients how its Business Continuity Plan addresses possible business disruption in various scenarios and its response to those scenarios. 

Deloitte Corporate Finance LLC (“DCF”) has identified the provision of advisory investment banking services to its clients as its critical task with respect to its corporate finance engagements. DCF has a contingency plan in place for various scenarios which may cause a significant disruption of DCF’s business, and which may affect the firm, the buildings in which the firm resides, or the city or region in which the firm maintains its offices. Types of disasters include but are not limited to: 

  • Natural causes
    • fires
    • hurricanes
    • earthquakes
    • floods
    • tornadoes
    • pandemic
  • Technical causes
    • hardware/software failures
    • prolonged loss of utility service
  • Human causes
    • riots
    • strikes

The contingency plan calls for DCF to relocate its personnel and its mission critical systems to alternative operating facilities maintained by Deloitte LLP, the parent firm of DCF. While such alternative facilities are being made operational and to the extent required, the plan further provides that DCF’s client service personnel will continue to service client engagements from their homes or from client locations until alternative locations become operational. In the event that mission critical systems have been lost or damaged, arrangements have been made to promptly replace such systems by drawing on the resources of Deloitte LLP. The plan is designed to reinstate the firm’s operations within a short period of time, allowing communication with clients. Client’s will be promptly apprised as to revised mailing addresses, email addresses, and telephone numbers to be used to communicate with DCF personnel. 

DCF will communicate with clients via email, telephone, voicemail, or in person on the potential business disruption scenario. 

To receive a copy of the disclosure by mail, please send your request to: 

Deloitte Corporate Finance LLC 
Attn: Compliance Department 
111 S. Wacker Dr.
Chicago, IL 60606-4301

All plans are subject to modification and will be updated promptly.