Disclosure
This website is designed to provide general information about the services offered through Monitor Capital, LLC. Monitor Capital is compensated by the hedge fund and private equity managers it represents. This fee is paid by the manager from fees they receive by investors. The manager has a standard fee schedule and is not adding a differential to compensate Monitor Capital, which means there is no additional cost to the investor in utilizing Monitor Capital services. Monitor is not affiliated with and has no relationship with the managers it represents other than a separate written agreement covering their marketing and consulting services for the benefit of the managers. Monitor is a licensed broker-dealer, registered with the Securities and Exchange Commission (SEC) and is a member of The Financial Industry Regulatory Authority (FINRA) - www.finra.org. Member SIPC - www.sipc.org
Patriot Act Disclosure
IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT OR ESTABLISHING A NEW CUSTOMER RELATIONSHIP
To help the U.S. government fight the funding of terrorism and money laundering activities, Federal law requires all U.S. financial institutions to obtain, verify, and record information that identifies each individual or institution that opens an account or establishes a customer relationship with Monitor Capital, LLC.
What this means for you: If you enter into a new customer relationship with Monitor Capital, LLC ("Monitor" or the "Firm") we will ask for the following information:
Accredited Investors / Individuals - Unexpired government-issued ID evidencing nationality or residency and bearing a photograph or similar safeguard (e.g., driver's license, passport, etc.) Other documents as may be required by our policies and procedures that allow us to establish a reasonable belief that we know the true identity of the customer.
Non-Individuals - Documents showing the existence of the legal entity, such as certified articles of incorporation, government-issued business license, partnership agreement, trust agreement, etc. This information will be used to verify your identity. As appropriate, we may, in our discretion, ask for additional documentation or information. If all required documentation or information is not provided, Monitor may be unable to open an account or establish a relationship with you.
Privacy Notice
Pursuant to Federal regulations, we are providing this Privacy Notice to all of the individual clients of our brokerage firm and its affiliated entities. The USA Patriot Act, which imposes Anti-Money Laundering Requirements on brokerage firms and financial institutions, requires that we ask you to provide us with various identification documents or other information in order for us to be permitted to open or maintain an account for you or to effect transactions for you. In addition, we may make inquiries of other organizations for information about you in order to fulfill our responsibilities under Federal regulations.
The Information We Collect About You
The non-public personal information we collect about you (your information) comes primarily from the account applications or other forms you submit to us. We may also collect information about your transactions and experiences with us or our affiliates relating to the products or services we provide. In addition, depending upon the products or services you require, we may obtain information from consumer reporting agencies.
Our Disclosure Policies
We do not disclose your information to anyone, except as permitted by law and as required by clearing firms, transfer agents and issuers, as necessary to perform such clearing services in connection with your account. This may include sharing your information with non-affiliated companies that perform support services for your account or process your transactions with us. Additionally, it may include disclosing your information pursuant to your express consent, to fulfill your instructions, or to comply with applicable laws and regulations.
Our Information Security Policies
We limit access to your information to those of our employees and service providers who are involved in offering or administering the products or services that we offer. We maintain physical, electronic, and procedural safeguards that are designed to protect your information. If our relationship ends, we will continue to treat the information as described in this Privacy Notice. If you require further information, please contact our Compliance Officer.
Business Continuity Plan
Monitor Capital LLC plans to quickly recover and resume business operations after a significant business disruption (SBD) 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, the Firm's business continuity plan (BCP) is designed to permit us to resume operations as quickly as possible, given the scope and severity of the SBD.
The BCP 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; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
The product sponsor or issuer maintains all records related to your investments and account holdings and backs up important records in accordance with their business continuity plan. For more information on their contingency plan, please contact the sponsor or issuer directly at the telephone number provided on your offering documents or through their website.
Significant Business Disruptions: Monitor's plan takes into account internal and external SBDs. Internal SBDs affect only the Firm's ability to communicate and do business, such as a fire or loss electrical power in the office or building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a natural disaster, or another event that causes a wide-scale, regional disruption in essential services.
Internal SBDs: In the event of a disruption in Monitor's business operations due an internal SBD, the Firm will attempt to continue to conduct business as usual by utilizing alternate communications methods (if available), such as the internet, cell phones, etc., or by moving its operations to an alternative location.
If personnel or operations must be moved to an alternate location, the Firm anticipates that it will resume regular operations within 2-4 hours.
External SBDs: In the event of a disruption in Monitor's business operations due to an external SBD, the Firm will attempt to continue to conduct business as usual by moving its operations to an alternative location outside the effected area, if possible, or by providing customers with alternative communication arrangements, as indicated below, to conduct business or to access their funds and securities.
The Firm will attempt to resume business within 24-48 hours and to keep its customers informed regarding relevant events to the best of its ability based on the circumstances.
In all cases, the Firm will resume normal business operations as soon as it is able to do so, based on the type and the extent of the disrupting event.
If the SBD is so severe that it prevents us from remaining in business, we will assure our customer's prompt access to their funds and securities.
Communications
Primary Contact
Name: Sakae Takushima
Telephone:917-450-6773
Email: stakushima@monitorcap.com
In the event you are unable to reach the Firm at our main number or the contact indicated above, please proceed as follows:
1. Contact the private placement issuer directly at the number listed on applicable offering documents.
2. Access the product sponsor or issuer website for more information on contacting this entity and their business continuity plans. The website address can generally be found on your statement or offering documents.
3. Contact the FINRA's District office at the following telephone number for more information on the Firm's status and additional instructions:
732-596-2000.
Business Continuity Plan Contact information: Any questions regarding Monitor Capital’s Business Continuity Plan should be addressed to Sakae Takushima.
INVESTMENTS IN ALTERNATIVE INVESTMENTS ARE SPECULATIVE AND INCLUDE A HIGH DEGREE OF RISK. INVESTORS COULD LOSE THEIR ENTIRE INVESTMENT. PAST RESULTS ARE NOT INDICATIVE OF FUTURE PERFORMANCE. ALTERNATIVE INVESTMENTS ARE SUITABLE ONLY FOR PERSONS WHO ARE ABLE TO ASSUME THE RISK OF LOSING THEIR ENTIRE INVESTMENT. ALTERNATIVE INVESTMENTS OFTEN ENGAGE IN LEVERAGING AND OTHER SPECULATIVE INVESTMENT PRACTICES THAT MAY INCREASE THE RISK OF INVESTMENT LOSS; CAN BE HIGHLY ILLIQUID; MAY HAVE RESTRICTIONS ON TRANSFERRING INTERESTS; MAY HAVE NO SECONDARY MARKET NOR IS ONE EXPECTED TO DEVELOP; ARE NOT REQUIRED TO PROVIDE PERIODIC PRICING OR VALUATION INFORMATION TO INVESTORS; MAY INVOLVE COMPLEX TAX STRUCTURES AND DELAYS IN DISTRIBUTING IMPORTANT TAX INFORMATION; ARE NOT SUBJECT TO THE SAME REGULATORY REQUIREMENTS AS MUTUAL FUNDS OR OTHER INVESTMENT VEHICLES; CAN HAVE VOLATILE PERFORMANCE; MAY HAVE HIGHER FEES THAN OTHER INVESTMENT VEHICLES, AND THESE FEES CAN OFFSET PROFITS. ALTERNATIVE INVESTMENT MANAGERS HAVE TOTAL TRADING AUTHORITY OVER THEIR FUNDS. SOME PORTION OF AN ALTERNATIVE INVESTMENT'S TRADES MAY BE EXECUTED ON FOREIGN EXCHANGES. PROSPECTIVE INVESTORS SHOULD CAREFULLY CONSIDER THESE RISKS BEFORE INVESTING. HEDGE FUNDS MAY PROVIDE NO TRANSPARENCY REGARDING ITS UNDERLYING INVESTMENT TO INVESTORS. HEDGE FUNDS MAY LACK DIVERSIFICATION WHICH COULD CREATE HIGHER RISK. HEDGE FUNDS MAY USE HYPOTHETICAL OR PROFORMA PERFORMANCE TO DEMONSTRATE HISTORICAL PERFORMANCE WHICH DOES NOT REFLECT ACTUAL TRADING DONE BY THE MANAGER. INVESTORS SHOULD NOT RELY OF HYPOTHETICAL OR PROFORMA PERFORMANCE. HEDGE FUNDS AND THEIR MANAGERS/ADVISORS MAY BE SUBJECT TO CONFLICTS OF INTEREST. THE ABOVE SUMMARY IS NOT A COMPLETE LIST OF THE RISK AND OTHER IMPORTANT DISCLOSURES CONTAINED IN THE HEDGE FUND OFFERING DOCUMENTS MUST BE CAREFULLY REVIEWED.