Regulatory Disclosures
/ United States
Perella Weinberg Partners LP (“PWPLP”) provides investment banking services in the United States. PWPLP is not a retail broker-dealer, and does not solicit or carry accounts for, or offer or sell securities products to retail customers. PWPLP is regulated by the Financial Industry Regulatory Authority, Inc. and a member of SIPC.
CUSTOMER COMPLAINT NOTICE DISCLOSURE STATEMENT SEC Rule 17a-3(a)(18)(ii)
Perella Weinberg Partners LP, in accordance with Rule 17a-3(a)(18)(ii), is furnishing this statement to provide you with a name, telephone number and address, if you ever need to report or notify us of a possible complaint. If, for any reason, you feel you have a complaint, please contact our Chief Compliance Officer immediately by telephone at (212) 287-3200 or by mail at:
Perella Weinberg Partners LP
767 Fifth Avenue
New York, NY 10153
Attn: Compliance Department
/ PWP Capital
In February 2019, the former asset management business of Perella Weinberg Partners (which includes PWP Capital Management LP, an SEC-registered investment adviser) separated from Perella Weinberg Partners to operate as a separate, standalone business held by PWP Capital Holdings LP (“PWP Capital”). While certain officers and equity holders of Perella Weinberg Partners own certain of the interests in PWP Capital, Perella Weinberg Partners has no beneficial or economic interest in PWP Capital, and does not participate in the profits or losses of PWP Capital or its subsidiaries.
/ United Kingdom
The information in this Site is issued and approved by Perella Weinberg UK Limited (“PWP-UK”) which is authorized and regulated by the Financial Conduct Authority (“FCA”). The FCA regulates the financial services industry in the UK and is located at 12 Endeavour Square, London, E20 1JN. PWP-UK has its registered office at 80 Charlotte Street, London, W1T 4DF, United Kingdom. PWP-UK’s FCA registration number is 914627. This Site is provided for informational purposes only and is not directed at, or intended for distribution to or use by, any person or entity who is a citizen or resident of or located in any jurisdiction (including the UK) where such distribution, publication, availability or use would be contrary to applicable law or regulation which would subject that PWP-UK or its subsidiaries or affiliates to any registration or licensing requirements with such jurisdiction.
The information featured on this Site may relate to services of an entity/person incorporated and operating outside of the UK or to other matters which are not regulated by the FCA. In such case, the provision of such services will not have the benefit of UK regulatory protections, including those provided in respect of the FCA rules and the UK compensation scheme. In particular, PWP and certain of its other subsidiaries are based outside of the UK and the provision of services by them will not have the benefit of such UK regulatory protection.
MODERN SLAVERY TRANSPARENCY STATEMENTS
Please click here to read the Modern Slavery Transparency Statements published by PWP UK.
MIFIDPRU 8 Disclosure
Please click here to read the MIFIDPRU 8 Disclosure published by PWP UK.
/ France
Perella Weinberg Partners France (“PWP France”) is a simplified joint stock company (“société par actions simplifiée”) registered in the Paris Trade and Companies Register under number 840 568 224, whose registered office is located at 9 avenue Percier, 75008 Paris, France. PWP France is authorised and supervised by the Autorité de contrôle prudentiel et de résolution (“ACPR”) and the Autorité des marchés financiers (“AMF”) as an investment firm under number 80658 (wwww.regafi.fr).
Sustainable Finance Disclosures Regulation (“SFDR”)
- Sustainability Risks
PWP France provides investment advice solely to professional clients and eligible counterparties, and only on a very exceptional basis. To the extent relevant under a specific transaction, PWP France will consider sustainability risks in their investment advice and inform the clients accordingly. PWP-France endeavours to develop good social and environmental practices.
- Sustainability Adverse Impacts
Due to the nature of its investment advice activities, PWP France does not currently consider adverse impacts of investment decisions on sustainability factors when providing investment advice.
- Remuneration Policy
The remuneration policy of PWP France does not create any incentives to overlook sustainability risks.
/ Your Personal Information
Please see the relevant document privacy information by clicking here.
/ Business Continuity
We have 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 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.
In the event of a significant business interruption, we will assess which means of communication are still available to us, and use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with the other party. For example, if we have communicated with a party by email but the Internet is unavailable, we will call them on the telephone and follow up where a record is needed with paper copy in the US mail or rapid delivery service.
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.
We utilize our various off-site locations to replicate critical data and technology. In the event of a significant disruption, it is our goal to recover from the disruption within 24 hours or less so that we can continue business operations. We intend 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 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. The nature of the BCP is to lessen the impact of emergencies. Because events that bring about disruptions are unpredictable, we 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. We do not guarantee that we will be able to continue or resume business operations within any specified period of time under all circumstances.
For more information or if you have questions about our business continuity planning, you can contact us at bcp@pwpartners.com.
