Legal & Compliance

REGULATORY MATTERS

Fidus Partners, LLC and its broker-dealer affiliate, Fidus Securities, LLC (together, "Fidus Partners") provide financial advice on mergers, acquisitions, financial restructurings and similar corporate finance matters. Fidus Securities, LLC is not a retail broker-dealer, and it does not conduct underwriting activities, provide research or analyst reports or solicit or carry accounts for, or offer or sell securities products to retail customers. Fidus Securities, LLC is regulated by the Financial Industry Regulatory Authority, Inc. (www.finra.org).

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 Fidus Partners or any other issuer. Offers can only be made where lawful under, and in compliance with, applicable law.

Fidus Partners 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.

While Fidus Partners uses reasonable efforts to obtain information from reliable sources, Fidus Partners makes no representations or warranties as to the accuracy, reliability or completeness of any information or document on this website obtained outside of Fidus Partners. Opinions and any other contents on this website are subject to change without notice.

Fidus Partners is not utilizing this website to provide investment or other advice, and no information or material on 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.

Fidus Partners does not advise on the tax consequences of any investment.

DISCLAIMER


The information, products and services on this website are provided on an "AS IS," "WHERE IS" and "WHERE AVAILABLE" basis. Fidus Partners does not warrant the information or services provided herein or your use of this website generally, either expressly or impliedly, for any particular purpose and expressly disclaims any implied warranties, including but not limited to, warranties of title, non-infringement, merchantability or fitness for a particular purpose. Fidus Partners will not be responsible for any loss or damage that could result from interception by third parties of any information or services made available to you via this website. Although the information provided to you on this website is obtained or compiled from sources we believe to be reliable, Fidus Partners cannot and does not guarantee the accuracy, validity, timeliness or completeness of any information or data made available to you for any particular purpose.

Neither Fidus Partners, nor any of its affiliates, directors, officers or employees, nor any third party vendor, will be liable or have any responsibility of any kind for any loss or damage that you incur in the event of any failure or interruption of this website, or resulting from the act or omission of any other party involved in making this website, the data contained herein or the products or services offered on this website available to you, or from any other cause relating to your access to, inability to access, or use of the web website or these materials, whether or not the circumstances giving rise to such cause may have been within the control of Fidus Partners or of any vendor providing software or services. In no event will Fidus Partners or any such parties be liable to you, whether in contract or tort, for any direct, special, indirect, consequential or incidental damages or any other damages of any kind even if Fidus Partners or any other such party has been advised of the possibility thereof. This limitation on liability includes, but is not limited to, the transmission of any viruses which may infect a user's equipment, failure of mechanical or electronic equipment or communication lines, telephone or other interconnect problems (e.g., you cannot access your internet service provider), unauthorized access, theft, operator errors, strikes or other labor problems or any force majeure.

Fidus Partners cannot and does not guarantee continuous, uninterrupted or secure access to the website.

USE OF LINKS

This website may contain 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 Fidus Partners of any information contained in any third party web site. In no event shall Fidus Partners be responsible for the information contained on that site or your use of or inability to use such site. You should also be aware that the terms and conditions of such site and the site's privacy policy may be different from those applicable to your use of this web site.

PROPRIETARY RIGHTS

All right, title and interest in this web site and any content contained herein is the exclusive property of Fidus Partners, except as otherwise stated. Unless otherwise specified, this web site is for your personal and non-commercial use only and you may print, copy and download any information or portion of this web site for your personal use only. You may not modify, copy, distribute, transmit, display, perform, reproduce, publish, license, frame, create derivative works from, transfer, or otherwise use in any other way for commercial or public purposes in whole or in part any information, software, products or services obtained from this web site, except for the purposes expressly provided herein, without Fidus Partners' prior written approval. If you copy or download any information or software from this web site, you agree that you will not remove or obscure any copyright or other notices or legends contained in any such information.

Fidus Partners, the Fidus Partners logo and other Fidus Partners trademarks and service marks referenced herein are trademarks and service marks of Fidus Partners. The names of other companies and third-party products or services mentioned herein may be the trademarks or service marks of their respective owners. You are prohibited from using any marks for any purpose including, but not limited to use as metatags on other pages or sites on the World Wide Web without the written permission of Fidus Partners or such third party, which may own the marks.

BUSINESS CONTINUITY DISCLOSURE


Fidus Partners has designed a business continuity plan ("BCP") to evaluate and manage a potential significant disruption to its business operations so that we may continue critical business functions in the event of an emergency. Critical functions include the storage and preservation of data, alternate communications with clients and regulators, and alternate communications with employees. Since the timing and impact of disasters and disruptions are 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.

If after a significant business disruption you cannot contact us as you usually do at 704.334.2222 or at info@fiduspartners.com, you should refer to our posted message on our web site at www.fiduspartners.com. The BCP was designed after reviewing the potential risks and ability to recover from key losses. The BCP is reviewed and updated at least annually. The BCP includes discussion of potential disruptions including loss of one or more offices, loss of communication services, loss of power, loss of key personnel, and loss of key service providers. Our BCP 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, bank and counter-party impact; and regulatory reporting.

Fidus Partners utilizes various off-site locations to replicate critical data and technology. In the event of a significant disruption, it is Fidus Partners' goal to recover from the disruption within 24 hours or less so that we can continue business operations. Fidus intends to respond to such disruptions by safeguarding our employees and property, making a financial and operational assessment, and protecting the firm's books and records. 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.

Significant business disruptions can vary in their scope. A disruption may affect only our firm, a single building housing one of our firm's offices, the business district where one of our firm's offices is located, the city where one of our firm's offices is located, or a whole region where one or more of our firm's offices are located. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing one of our firm's offices, we will make every effort to transfer our operations to a local site when needed and expect to recover and resume business within 24 hours or less. In a disruption affecting a business district, city, or region including one or more of our offices, we will make every effort to transfer our operations to a site outside of the affected area, and recover and resume business within 24 hours or less. In either situation, we plan to continue in business, and notify you on how to contact us through our web site www.fiduspartners.com. The nature of the BCP is to lessen the impact of emergencies. Because events that bring about disruptions are unpredictable, Fidus Partners may have no ability to restore full service in the event of failures in certain infrastructure such as utilities, communication networks, transportation, and third party providers. Fidus Partners does not guarantee that it will be able to continue or resume business operations within any specified period of time under all circumstances.

If you have questions about our business continuity planning, you can contact us at info@fiduspartners.com.