Legal and Regulatory Information

Stout Causey Capital Corporation – Legal & Regulatory Information


Disclosure

Securities offered through Registered Representatives of Stout Causey Capital Corporation, a registered broker-dealer, member FINRA/SIPC. SC&H Capital is a registered trade name of Stout Causey Capital Corporation, a subsidiary of SC&H Group, Inc. Stout Causey Capital Corporation is licensed to sell securities in Delaware, District of Columbia, Maryland, and Virginia. This communication does not represent an offer to sell or a solicitation of an offer to buy, any security, nor shall any security be offered or sold to any person in any jurisdiction in which such offer, solicitation, purchase or sale may not lawfully be made.

Important Information About Procedures for Opening a New Account

To help the government fight the funding of terrorism and money laundering activities, federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. Accordingly, SC&H Capital will ask for the account owner’s name, address and other relevant information when opening accounts.

SC&H Capital’s Business Continuity Planning

SC&H Capital has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us – If after a significant business disruption you cannot contact us as you usually do at (800) 832-3008 or (410) 403-1500, you should call our alternative number (703) 287-5959 or through to our website at www.schgroup.com.

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact, and regulatory reporting.

The SC&H Capital Business Continuity Plan is reviewed periodically and subject to change without notice. A written copy of the plan is provided to clients upon request.