Business Continuity Plan

Moelis is committed to protecting the interests of our clients in the event of Significant Business Disruption (SBD). The Business Continuity Plan summary below details how we will respond to events that significantly disrupt our business.

Our Firm will respond as immediately as practicable to an SBD by:

  • safeguarding employees’ lives and Firm and client property,
  • making a financial and operational assessment,
  • recovering and resuming operations,
  • protecting the Firm’s books and records, and
  • allowing clients access to our expertise and services to pursue existing engagements.

In the unlikely event that we determine we are unable to continue our business, we will notify our clients to that effect and make available to each of them any records and other documents we maintain related to the continuation of their business.

In the event of an SBD, we will authorize employees to remain at each person’s respective home using the contact information provided elsewhere in this document. Each individual has home telephone and/or cellular phone contact information. Actual physical office space is not necessary to the continuity of our operations during a dire emergency and for short periods of time. In the event of a long-term SBD, we will consider moving our staff from affected offices to the closest of our unaffected office locations.

The Firm has a comprehensive architecture for the electronic back-up and recovery of its data. The primary data facilities for the Firm are at 399 Park Avenue, 5th Floor, New York, New York, 10022 and at 1999 Avenue of the Stars, Suite 1900, Los Angeles, California, 90067 and also Condor House, St. Paul’s Churchyard, London EC4M 8AL.

The Firm utilizes replication and tape backups stored offsite to allow for the recovery of data. Regional data is replicated to primary data facilities based on proximity. Replicated data is backed up along with local data via tape on a regularly scheduled basis. Backup tapes are stored off-site in a secure archive facility.

We communicate with our clients using the telephone, email, our website, fax, US mail, delivery services and in-person visits at our Firm or at the other’s location. In the event of an SBD, we will assess which means of communication are still available to us, and use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with the other party. For example, if we have communicated with a party by email but the Internet is unavailable, we will call them on the telephone and follow up where a record is needed with paper copy in the US mail or rapid delivery service.

The Firm’s primary introducing brokerage firm is Weeden & Co., L.P. A summary of its Business Continuity Plan is located on its website: http://weedenco.com. The Firm’s clearing firm is Merrill, Lynch, Pierce, Fenner & Smith Incorporated. A summary of its Business Continuity Plan is located on its website: https://www.ml.com/privacy-and-security-center/business-continuity-planning.html#experience=static

If you have questions regarding our Business Continuity Plan, you may contact us at compliance@moelis.com. The Firm will review this Business Continuity Plan at least annually to modify it for any changes in our operations, structure, business or location.

Moelis Australia Securities Pty Ltd (ACN 122 781 560) is authorised by the Australian Securities and Investments Commission (“ASIC”) in Australia, AFS License no. 308241 and is a Participant of the ASX Group. Moelis Australia Advisory Pty Ltd (ACN 142 008 446) is authorised by ASIC and holds AFS Licence no. 345499. Services provided are only available to ‘Wholesale Clients’ as defined under the Corporations Act 2001 (Cth). ADDITIONAL NOTICE TO AUSTRALIAN RECIPIENTS: Unless specifically stated otherwise, any advice contained in this email has been prepared without taking into account your objectives, financial situation or needs. Before acting on any advice in this email, Moelis recommends that you consider whether it is appropriate for your circumstances. If this email contains reference to any financial products, Moelis recommends that you obtain current disclosure documents for those particular products and consider this information before making any decisions regarding the products. If personal information is contained in this email, then it is governed by the Privacy Act 1988 and must be treated in accordance with the Privacy Act 1988 by the recipient. The legal privilege and confidentiality attached to this email is not waivered, lost or destroyed by reason of mistaken delivery to you.

Moelis & Company Asia Limited, company number 1398698, is a corporation licensed by the Securities and Futures Commission in Hong Kong (with CE No. AT1825) to engage in Type 6 (advising on corporate finance) regulated activities.

Moelis & Company Consulting (Beijing) Company Limited is a company incorporated in the People’s Republic of China to engage in investment consultancy, business consultancy and related activities. It is not registered with the China Securities Regulatory Commission or other regulatory authorities in the People’s Republic of China to conduct any regulated activities.

Moelis & Company UK LLP, French branch / Succursale en France – 121, avenue des Champs-Elysées, 75008 Paris – 810 757 955 RCS Paris – SIRET 810 757 955 00028, is the French branch of Moelis & Company UK LLP, a firm authorised and regulated by the UK Financial Conduct Authority (“FCA”) with Firm Reference Number 516801. The French branch is also regulated in France by the Autorité de contrôle prudentiel et de résolution (61, rue Taitbout, 75436 Paris cedex 09; +331 4995 4000) and Autorité des marchés financiers (17, place de la Bourse, 75082 Paris cedex 02; +331 5345 6000) with ACPR identification number 18633.

Moelis & Company India Private Limited is a company incorporated in India to engage in investment advisory services. CIN: U67190MH2012FTC231419. It is not registered with any governmental or regulatory authority in India to conduct any regulated activities.

Moelis & Company Assessoria Financeira Ltda. is a company incorporated in Brazil which engages in investment advisory services. The company is enrolled under CNPJ/MF No. 18,835,253/0001-40 and its headquarters are located in the city of São Paulo, state of São Paulo. Moelis & Company Assessoria Financeira Ltda. is not registered with any governmental or regulatory authority in Brazil to conduct any regulated activities.

To learn more about Moelis, please visit www.moelis.com.