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Fulcrum Capital Holdings LLC (together with its subsidiaries and affiliates, "Fulcrum") is committed to conducting its business and operations with the highest ethical standards and in full conformity with the anti-money laundering (AML) regulations and statutes that are applicable to Fulcrum. Money Laundering is the process used to transform cash or other funds generated from illegal activities into legitimate financial institutions or businesses to conceal the initial source of the funds or to create assets that appear to come from legitimate sources. In addition, terrorist activities have added another dimension to money laundering whereby funds (whether legally created or not) are used to fund illegal activities.
Fulcrum is also committed to knowing its customers and potential customers. This commitment and understanding is also necessary for Fulcrum and all its employees to avoid criminal liability as a result of customers using the resources of the institution for illicit purposes (i.e., money laundering and the funding of terrorist or criminal activity). Therefore, it is the responsibility of all Fulcrum employees to make all reasonable efforts to deter money laundering activities and determine the true identity of its customers and to maintain a clear understanding of its customers' financial needs and practices.
Fulcrum has therefore developed an AML compliance program, which includes the following components: Establishment of an effective and reasonable customer identification program (CIP) using documentary and non-documentary methods, including, but not limited to: internal policies, procedures, and controls designed to detect and deter money laundering and suspicious activities and report of such transactions to appropriate parties/agencies as required; designation of one or more qualified individuals responsible for implementing and monitoring the day-to-day operations and internal controls of the program; sharing information with other financial institutions; independent audit of AML program by an outside party; ongoing AML training for appropriate Fulcrum personnel.
Fulcrum Capital Holdings LLC ("Fulcrum") and its affiliated entities, maintain a Business Continuity Plan (BCP) that has been developed to protect the health and safety of our employees and maintain continuity of service for our counterparties and investors. The key elements of our BCP include the following:
We maintain an office evacuation plan and emergency procedures in the event of a disaster affecting our primary office facilities or surrounding area.
We maintain an emergency contact list and procedures updated and distributed on a regular basis. Critical data from our computer systems is backed up daily to tape with rotating copies stored offsite in secure, climate-controlled facilities.
Fulcrum employees can access Fulcrum computer data remotely via redundant secure connections. Fulcrum maintains back-up mail and file servers hosted and maintained in a geographically separate Fulcrum office. Critical data is also replicated, in near real-time, to back-up servers hosted and maintained in a geographically separate Fulcrum office.
The BCP is designed to address significant business disruptions of varying scope, including a firm-only disruption, single-building disruption, citywide business disruption, or a regional disruption. In the event of a significant business disruption, our employees would assemble at alternate business locations and access Fulcrum's computer data remotely. Key service providers would be contacted, and would continue to provide critical processing for our investment transactions. Our key service providers maintain offices outside of Austin, Texas, and would not be affected by a citywide business disruption. Even in the event of a regional disruption of significant scope, our key service providers maintain alternate business locations that permit them to resume critical functions in a reasonable period of time.
We cannot possibly forecast every potential problem that may occur, but we believe our BCP will enable us to continue to conduct business in the event of a variety of possible business disruptions. We believe that our BCP will help us to limit the recovery time necessary to resume operations.
We review our BCP at least annually. The BCP is subject to modification based on changing circumstances and assessment of need.
If you have any questions about our business continuity planning, please Contact Us.
Fulcrum is strongly committed to respecting the privacy of all our clients and protecting proprietary information which we may collect and which you may choose to share with us related to maintaining an account with us.
How We May Obtain Your Personal Information
Fulcrum primarily collects non-public information from the account opening process and other due diligence documents you may submit to us. Also, in order for Fulcrum to administer your accounts and/or settlement process.
How We Will Use Your Information
Fulcrum will use your information to comply with customer identification requirements and to provide you with efficient settlement. Fulcrum does not disclose any non-public information of current or former clients, to affiliates or non-affiliated third parties expect as permitted by law, to process client transactions or to fulfill legal and/or regulatory requirements. It is our policy not to sell or market your personal information to any unaffiliated third party without your prior consent.
Safeguarding Information
Fulcrum has employed physical and technological safeguards to ensure the security and confidentiality of client information. Also, employees of Fulcrum are instructed to protect non-public client information and to comply with the firm's related policies and procedures.
No Warranties
Due to the numerous technical and operational uncertainties, we cannot make any warranty, guarantee or representation concerning the accuracy, thoroughness, completeness of your information, nor our ability to control, correct, access, handle, process, use, store or transfer such information, and all such warranties are hereby disclaimed.
Changes to Privacy Policy
Fulcrum reserves the right to revise the content of this Privacy Policy in any manner and at any time.
Contact Us
If you have any questions or comments about this Privacy Policy or the use of your information, please contact us by email at compliance@fulcruminv.com.
Fulcrum understands the importance of efficient trade settlement and clearing. We add significant benefits to our clients and counterparties by employing highly skilled settlement professionals. Fulcrum's knowledgeable, in-house professionals combined with best-in-class outside counsel, ensure that products are settled in a seamless manner.
Non-securities transactions are generally conducted by Fulcrum Credit Partners LLC ("FCP") for transactions consummated with U.S.-based personnel, Fulcrum Distressed Partners (BVI) Limited for transactions consummated with Non-US based personnel, or in conjunction with one or more of the Fulcrum Distressed Opportunity Funds™ where Fulcrum is taking a principal position in the subject instrument. All inquires should be directed to Fulcrum's legal department at +1 (512) 473-2771, clearing@fulcruminv.com.
Securities transactions are conducted by Fulcrum Capital Markets LLC ("FCM"), member FINRA || SIPC for transactions consummated with U.S.-based counterparties or Fulcrum Distressed Partners (BVI) Limited for transactions consummated with non-U.S. based counterparties.
Clients and counterparties can obtain access to Fulcrum's trade settlement instructions by contacting our back office or your Fulcrum relationship manager contact. If you have not transacted business with Fulcrum, you will find our account opening and settlement process to be simple and efficient.
Thank you for visiting the website of Fulcrum Capital Holdings LLC (together with its subsidiaries and affiliates, "Fulcrum"). By accessing this website and any information or materials presented herein (the "Site"), you agree to accept the following terms and conditions pertaining to the use of the Site, which constitute a legal agreement between you and Fulcrum (the "Agreement"). Fulcrum reserves the right to modify this Agreement without notice, and each use of the Site constitutes your acceptance to be bound by the terms set forth in the Agreement as modified at the time of such use. If you do not accept this Agreement, you may not use the Site.
No Offer of Securities
Under no circumstances should any information or materials presented on this Site be used or construed as an offer, or a solicitation of an offer, by Fulcrum to buy or sell any securities or other financial instruments or investments.
No Representations or Warranties
Fulcrum and its officers, directors, managers, principals, members, partners, shareholders, agents and employees make no representations or warranties of any kind, express or implied, as to the accuracy or other characteristics of the information and materials presented on the Site. Such information and materials are provided "as is", and Fulcrum specifically disclaims all warranties of any kind, including all warranties of and conditions of merchantability, fitness for a particular purpose, title, non-infringement, availability, accuracy or completeness.
All information and materials presented on the Site are provided for informational purposes only and should not be interpreted or relied on as legal, accounting, tax, financial, investment or other professional advice.
Limitation of Liability
While Fulcrum uses reasonable efforts to include accurate and up to date information on this web site, errors or omissions sometimes occur. Fulcrum makes no warranties or representations as to the accuracy of this web site. Under no circumstances shall Fulcrum nor any party involved in creating, producing, or delivering the web site be liable for any direct, incidental, consequential, indirect, or punitive damages that result from the use of, or the inability to use, the materials on this web site, even if a Fulcrum authorized representative has been advised of the possibility of such damages. Applicable law may not allow the limitation or exclusion of liability or incidental or consequential damages, so the above limitation or exclusion may not apply to you.
Fulcrum also assumes no responsibility, and shall not be liable for, any damages to, or viruses that may infect, your computer equipment or other property on account of your access to, use of, or browsing in the web site or your downloading of any materials, data, text, images, video, or audio from this web site.
Restrictions on Use of Materials
Except as otherwise permitted by Fulcrum Capital Holdings LLC, no materials from www.newfulcrum.wpengine.com or any web site owned, operated, licensed or controlled by Fulcrum may be copied, reproduced, republished, uploaded, posted, transmitted or distributed in any way. You may download material displayed on this web site for non-commercial; personal use only, provided you also retain all copyright and other proprietary notices contained on the materials. You may not distribute, modify, transmit, reuse, report or use the content of this web site for public or commercial purposes, including the text, images, audio and video, without Fulcrum's prior written permission.
Jurisdictional Issues
The information contained on this web site is not an offer to sell or solicitation to buy any security or product. No security or product is offered or will be sold in any jurisdiction in which such offer or solicitation, purchase or sale would be unlawful under the securities, insurance or other laws of such jurisdiction.
Indemnity
You, the user, shall irrevocably indemnify Fulcrum and its officers, directors, managers, principals, members, partners, shareholders, agents and employees against any and all losses, damages and costs suffered or incurred by such parties arising out of or in connection with your access, use or distribution of the Site or information contained herein in breach of this Agreement.
Trademarks, Copyrights & Usage of this Web Site
Fulcrum grants you a limited, revocable, nonexclusive, nontransferable right to view, store, bookmark, download and print pages from the Site for your personal and noncommercial use only. Any unauthorized use of the images displayed on the Site by you, or anyone else authorized by you, is prohibited and may violate copyright laws, trademark laws, and the laws of privacy and publicity, and communications, regulations and statutes. If you download any information from the Site, you agree that you will not copy it or remove or obscure any copyright or other notices or legends contained in any such information. The content contained on the Site is protected by copyright laws. Accordingly, you may not copy, distribute, modify, post or frame the Site, including any text, graphics, video, audio, software code, user interface design or logos. You may download material displayed on the Site provided you also retain all copyright and other proprietary notices contained on the materials. You may not distribute, modify, transmit, reuse, repost, or use the content of the Site for public or commercial purposes, including the text, images, audio, and video, without Fulcrum's written permission. Without limiting the generality of the foregoing, you agree not to copy large portions of the Site (such as by bots, robots or spiders that "harvest" the Site), interfere with the functioning of the Site or restrict or inhibit any others from using the Site. Modification or use of the materials for any other purpose violates
Fulcrum's intellectual property rights.
All trademarks, service marks, trade names, and logos displayed on the Site are proprietary to Fulcrum and/or their respective owners. Nothing contained on the Site should be construed as granting, by implication, estoppels, or otherwise, any license or right to use any trademark displayed on the Site without the written permission of Fulcrum or such other third party that may own the trademark displayed on the Site. Your use of the trademarks displayed on the Site, except as provided herein, is strictly prohibited. Inquiries concerning use of Fulcrum's trademarks, service marks, trade names, logos, icons, copyrights or other intellectual property should be addressed to Fulcrum Capital Holdings LLC, Legal Department, 111 Congress Avenue, Suite 2550, Austin, Texas 78701.
Links to Other Web Sites
Fulcrum may establish links between the Site and one or more web sites operated by third parties. Fulcrum has no control over any such other web sites, the contents therein or the products/services offered. The existence of any such links shall not constitute an endorsement, representation or warranty by Fulcrum of such web sites, the contents of the web sites, the products or services of the web sites or the operators of the web sites.
FULCRUM DISCLAIMS RESPONSIBILITY FOR THE PRIVACY POLICIES AND CUSTOMER INFORMATION PRACTICES OF THIRD-PARTY INTERNET WEBSITES HYPERLINKED FROM THE SITE.
Links to Fulcrum from Other Web Sites
You shall not display hyperlinks on your web sites to any web site owned or operated by Fulcrum. If you desire to display on your web site a hyperlink to a Fulcrum web site, you must enter into a written agreement with Fulcrum governing such display. Access to any Fulcrum web site does not authorize you to use any of Fulcrum's names, logos, trademarks or copyrighted material, and you agree not to do so without Fulcrum's express written consent. Requests to display hyperlinks on your web sites to Fulcrum web sites should be e-mailed to info@fulcruminv.com.
Transmissions to and from This Web Site
Electronic communications can be intercepted by third parties and, accordingly, transmissions to and from the Site may not be secure. Communications to Fulcrum, particularly those containing confidential information, may be sent by mail to: Fulcrum Capital Holdings LLC; Attn: General Counsel, The Wells Fargo Building, 111 Congress Avenue, Suite 2550, Austin, TX 78701. Fulcrum shall be free to use, for any purpose, and without any compensation, any ideas, concepts, know-how, or techniques provided by users to Fulcrum through this Site.
Password Protected Areas
Certain areas of the Site are password protected and are only accessible to those who have been issued a password from an authorized representative of Fulcrum. You may not attempt to access any password protected areas of the Site unless you have received proper authorization and been issued a valid password. In the event that you have been issued such a password, you acknowledge and agree that Fulcrum has granted you limited access to specific files pertaining to investments relevant to you ("Authorized Files"), and you agree not to attempt to access computer files other than the Authorized Files.
International Use
This Site is maintained in the United States and Fulcrum makes no representations that information or materials presented on the Site are appropriate for use in jurisdictions outside of the United States. Those who access this Site from outside of the United State do so at their own risk and are responsible for compliance with all local laws. Accessing this Site from locations where it is illegal is prohibited.
Integration and Severability
If any provision of this Agreement is deemed unlawful, void, or for any reason unenforceable, then that provision will be deemed severable from this Agreement and will not affect the validity and enforceability of the remaining provisions. This Agreement represents the entire agreement between Fulcrum and the user relating to the subject matter herein.
Employment
Fulcrum is an equal opportunity employer committed to diversity in the workplace.
Waiver
No waiver by Fulcrum of any right under or term or provision of this Agreement will be deemed a waiver of any other right, term, or provision of this Agreement at that time or a waiver of that or any other right, term, or provision of this Agreement at any other time.
Jurisdiction
The information and materials provided on this Site are not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject Fulcrum to any registration requirement within such jurisdiction or country.
Governing Law
The laws of the State of Texas govern this Agreement. If you take legal action relating to this Agreement, you agree to file such action only in the state or federal courts located in Austin, Texas, and you consent and submit to the personal jurisdiction of those courts for the purpose of litigating any action with Fulcrum.
FULCRUM™, FULCRUM CAPITAL HOLDINGS™, FULCRUM CAPITAL MANAGEMENT™, FULCRUM CAPITAL MARKETS™, FULCRUM DISTRESSED OPPORTUNITY FUND™ and FULCRUM CREDIT PARTNERS™ are registered trademarks of Fulcrum Capital Holdings LLC. The Fulcrum logo is a service mark of Fulcrum Capital Holdings LLC.
