Legal Information

England & Company, through its wholly owned subsidiary England Securities, LLC, provides independent financial advice to middle-market corporate clients and their financial sponsors primarily in connection with investment banking activities related to mergers, acquisitions, restructurings, and private capital raising activities.  The firm does not conduct underwriting activities, provide equity research reports, or carry accounts for retail customers.  England Securities is regulated by the Financial Industry Regulatory Authority as a FINRA Member Firm.  None of the information contained in this web site constitutes a recommendation, solicitation or offer by England & Company or its affiliates to buy or sell any securities or other financial instruments or provide any investment advice or service.

The information and services provided on this web site are not provided to and may not be used by any person or entity in any jurisdiction where the provision or use thereof would be contrary to applicable laws, rules or regulations of any governmental authority or regulatory or self-regulatory organization or where England & Company, England Securities or England Capital Partners is not authorized to provide such information or services.

Privacy

England & Company does not disclose any personal information obtained about its clients, except as required or permitted by law.  Permitted disclosures include, for instance, allowing employees of England & Company and its affiliates access to information and making information available to England & Company's service providers such as its attorneys and accountants.  England & Company does not disclose personal information to any other unrelated third parties except to the extent it deems appropriate.

England & Company is committed to preserving the confidentiality and security of its clients’ and prospects’ personal information and maintains physical, electronic and procedural protections designed to guard personal information against impermissible disclosure.

Patriot Act and Anti-Money Laundering Compliance

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, in order to verify the identity of its customers, England Securities will ask for the account owner's name, address, and relevant other information when opening accounts.

Summary of England Securities’ Business Continuity Planning

England Securities has developed a Business Continuity Plan setting forth 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 about our business continuity plan.

Contacting Us:  If, after a significant business disruption, you cannot contact us as you usually do, you should visit our web site at www.englandco.com for alternative contact information.

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 back-up 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.  England Securities’ Business Continuity Plan is reviewed periodically and subject to change without notice.  A written copy of the summary of the plan is available to customers upon request.