Business Continuity Plan Summary

Deloitte Corporate Finance LLC (DCF) is committed to ensuring the continuity of its services to its clients in the event of significant business disruption (SBD). DCF delivers advisory investment banking services and consulting services and does not receive, deliver, take possession of, or maintain custody of client funds or securities under any circumstances.

DCF's BCP is designed to facilitate DCF’s response to internal or external SBDs of varying scope, depending on the event, in coordination with DCF’s affiliate and parent company, by safeguarding DCF personnel’s lives and well-being and DCF property, expeditiously making a post-SBD financial and operational assessment, quickly recovering and resuming operations, protecting DCF’s books and records, and continuing to provide advisory investment banking services and consulting services to its clients.

The BCP details DCF’s business continuity policies relating to: (1) office locations and alternative physical locations of personnel, including its work-from-home model, and how to coordinate needs during the recovery and business resumption period in the event of an SBD; (2) data back-up and recovery of required books and records, including arrangements in place through DCF affiliates and qualified third party service providers; (3) financial and operational assessments of the impact of an SBD; (4) mission critical systems; (5) testing, training and awareness of the BCP; (6) communications with customers, personnel, and regulators, including alternate communications during an SBD; (7) critical business constituents, and counterparties; (8) regulatory reporting; (9) emergency contacts, office locations and appointed local crisis managers; and (10) disclosure of the BCP (including this summary).

DCF currently communicates with its clients by telephone, email, U.S. mail, and in person visits at DCF or at the client’s location.  In the event of an SBD, DCF will assess which means of communication are still available and use the means closest in speed and form (written or oral) to the means that it has used in the past to communicate with the other party.

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

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

DCF’s BCP is maintained and reviewed in accordance with FINRA Rule 4370 and is updated annually or when material changes occur.