Legal and Compliance

Bardi Co. LLC is a California limited liability company, and a Financial Industry Regulatory Authority (FINRA) and a Securities Investor Protection Corporation (SIPC) member firm. Bardi Co. provides merger, acquisition, corporate finance, restructuring, private placement and valuation advisory services. Regulated activities in which the Firm is engaged are comprised of mergers and acquisitions advisory services and private placement transactions (acting as placement agent). Bardi Co. facilitates the sales process for private placement transactions by gathering and forwarding the requisite paperwork and application, with all client funds submitted directly by the investor to, and held by, the issuer. Our firm is subject to regulation by FINRA, the Securities and Exchange Commission (SEC) and state regulators, and has to comply with the net capital requirements of the Securities Exchange Act of 1934.

 

Business Continuity Plan

 

Our firm’s policy in response to an internal or external significant business disruption (SBD) is to safeguard employee lives, protect the interests of our clients, prevent and mitigate damage to firm property including the books and records, make financial and operational assessments, and quickly recover and resume operations in order to continue servicing our clients. In the event we are unable to continue operations at our main location, the firm assures clients prompt service through an alternative office location. 


In the event of an SBD, the business operations and any staff from affected offices will be moved to an unaffected office location. The secondary facility is located in Los Angeles, California at approximately half a mile from the primary location.


Our firm does not maintain custody of client funds or securities as these are maintained by the issuers. In the event of an internal or external SBD our firm will have the ability to communicate with clients through multiple avenues. If phone service is available, our registered persons will be able to respond to customer questions or inquiries and receive instructions from clients. If web access is available our firm will contact clients with instructions on how to effectuate transactions and receive securities by directly contacting the issuer. Finally, clients will have direct access to issuers to conduct transactions if necessary via a customer service phone number to speak to a representative or through respective web sites.


In the event of an internal or external SBD that results in the loss of physical records, we will recover these from our back-up site. If our primary site is inoperable, we will continue operations from our back-up site or an alternate location if necessary. For the loss of electronic records, we will either physically recover the storage media or electronically recover data from our back-up site. In the event that the records from both the primary location and the back-up locations are not accessible, our firm maintains an online data “cloud” storage facility. If you have questions regarding our Business Continuity Plan, you may contact Bardi Co. at info@bardico.com. Our firm will review this plan at least annually to modify it for any changes in our operations, structure, business or locations. This plan is subject to change and in the event that the Business Continuity Plan is modified, a summary of the updated document will be available on our website at www.bardico.com.

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© 2019 Bardi Co. All Rights Reserved

 

 

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