ICR Capital Terms & Conditions
Jan 30, 2024
1. Regulatory Matters
ICR Capital provides strategic communications and advisory services to a wide-range of companies that span virtually all major industry sectors. ICR Capital, a wholly owned subsidiary of ICR, LLC, is an SEC registered broker-dealer and member of the Financial Industry Regulatory Authority, Inc. (www.finra.org) and the Securities Investor Protection Corporation (www.sipc.org). ICR Capital provides consulting services on mergers, acquisitions, financial restructurings, underwritings, and similar corporate finance matters. It may engage in capital raising activities and the sale of private placements, but it does not sell underwritten securities to investors. It is not a retail broker-dealer, and it does not provide research or analyst reports or solicit or carry accounts for, or offer or sell securities products to, retail customers.
The information and services provided on this website are not provided to and may not be used by any person or entity in any jurisdiction where the provision or use thereof would be contrary to applicable laws, rules or regulations of any governmental authority or regulatory or self-regulatory organization or where ICR Capital is not authorized to provide such information or services.
2. No Offers or Reliance
No material on this website shall be used or considered as an offer to sell or a solicitation of any offer to buy the securities or services of any issuer. Offers can only be made where lawful under, and in compliance with, applicable law.
ICR Capital makes no representations that transactions, products or services discussed on this website are available or appropriate for sale or use in all jurisdictions or by all investors. Those who access this website do so at their own initiative and are responsible for compliance with local laws or regulations.
ICR Capital is not utilizing this website to provide investment or other advice, and no information or material at this website is to be deemed a recommendation to buy or sell any securities or is to be relied upon for the purpose of making or communicating investment or other decisions. Any transactions listed on this website are included as representative transactions and are not necessarily reflective of overall performance. ICR Capital does not advise on the tax consequences of any investment.
3. Use of Links
This website contains links to third party websites. These links are provided only as a convenience. The inclusion of any link is not and does not imply an affiliation, sponsorship, endorsement, approval, investigation, verification or monitoring by ICR Capital of any information contained in any third party website. In no event shall ICR Capital be responsible for the information contained on that website or your use of or inability to use such website. You should also be aware that the terms and conditions of such website and the website’s privacy policy may be different from those applicable to your use of this website.
4. Business Continuity
ICR Capital has developed and implemented a Business Continuity Plan (BCP) designed to address and mitigate the potential consequences of a significant business disruption, whether the disruption is local to the company, its immediate locale, or more regional. The BCP is designed to enable us to continue or resume key operations in the event of an emergency or significant business disruption within 24 to 48 hours or less. Our BCP tries to anticipate the various types of events that could interfere with our ability to operate on a normal basis. Critical functions addressed include the storage and preservation of data, alternate communications with clients and regulators, and alternate communications with, and safety of, employees.
ICR Capital maintains its hard-copy books and records and electronic records primarily at its main office and back-up books and records at alternate locations. If records are lost as the result of a business disruption or for any other reason, ICR Capital can recover data from both physical and electronic back-up locations.
In the event of a significant business disruption, ICR Capital will assess all available means of communication and determine how best to communicate with clients. If we are unable to communicate through traditional means we will, if possible, post emergency contact information and instructions on our website.
Our BCP may need to rely upon the recovery and restoration of services provided by various critical business constituents at both our primary and alternate business locations. We have considered the extent to which we may be able to depend upon these business relationships during a significant business disruption as a part of our decision to do business with these constituents.
We believe that our BCP implements reasonable and prudent measures to overcome or at least mitigate the consequences of an event that would otherwise interfere with the normal course of our business. However, because it is not possible to anticipate the nature, scope, impact and consequence of every possible business disruption, ICR Capital does not represent or guarantee that it will be able to continue or resume business operations within any specified period of time under all circumstances.
Our BCP is subject to periodic modification. A copy of the summary of our BCP is available upon request by writing to ICR Capital LLC, 761 Main Avenue, Norwalk, CT 06851, Attention: Stephen Parish, Head of Capital Markets or click here for a PDF version.