Regulatory and legal disclosures

June 12, 2024

eShares, Inc. DBA Carta, Inc. is a transfer agent registered with the U.S. Securities and Exchange Commission and a member of FINRA.

 

Carta Capital Markets, LLC is a broker-dealer and a member of FINRA and SIPC.

 

The services and information described in this communication are provided to you “as is” and “as available” without warranties of any kind, expressed, implied or otherwise, including but not limited to all warranties of merchantability, fitness for a particular purpose, or non-infringement. Neither eShares, Inc. DBA Carta, Inc. nor any of its affiliates will be liable for any damages, including without limitation direct, indirect, special, punitive or consequential damages, caused in any way or arising from the use of the services or reliance upon the information provided in this communication or in connection with any failure of performance, error, omission, interruption, defect, delay in operation or transmission, computer virus or line or system failure.

 

The Carta Community contains general information only and eShares, Inc. dba Carta, Inc. (“Carta”) and its Affiliates are not rendering accounting, business, financial, investment, legal, tax, legal, regulatory, or other professional advice or services. This website or its features are not a substitute for such professional advice or services nor should it be used as a basis for any decision or action that may affect your business or interests.  Before making any decision or taking any action that may affect your business or interests, you should consult a qualified professional advisor.  The content on this website is not intended as a recommendation, offer or solicitation for the purchase or sale of any security and by providing this information, Carta is not advising you to take any particular action based on the information or opinions (if any) contained herein. Carta does not assume any liability for reliance on the information provided herein. 

 

IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT OR ESTABLISHING A NEW CUSTOMER RELATIONSHIP

 

To help the government fight the funding of terrorism and money laundering activities, Federal law requires all U.S. financial institutions, including Carta Capital Markets, LLC, to obtain, verify, and record information that identifies each individual or institution that opens an account or establishes a customer relationship with us.

 

This communication is not, and should not be construed to be investment advice (as defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”) or similar concepts under applicable law) from eShares, Inc. DBA Carta, Inc. or any of its affiliates with respect to an employee benefit plan or to any person acting as a fiduciary for an employee benefit plan, or as a primary basis for any particular plan investment decision.

 

Business continuity for disaster recovery is a high priority for eShares, Inc. DBA Carta, Inc. and its affiliates. Our objective is to ensure our continued ability to serve our clients and to protect their assets as well as our people and assets. Our Business Continuity Program (“BCP”) has been developed to provide reasonable assurance of business continuity in the event there are disruptions of normal operations at our critical facilities and can be obtained upon request.

 

Carta Capital Markets, LLC maintains a separate  BCP. In the event of a business disruption, the firm has plans designed to allow us to continue operations of critical business functions such as: entering and executing orders, completing securities transactions, and responding to client inquiries. Carta Capital Markets, LLC has identified applications that are critical to their business units. These applications are to be implemented in separate production and recovery data centers. Carta Capital Markets, LLC test their BCPs and have communication plans in place to notify firm employees. In the event of an emergency please contact Carta at 650-669-8381.

 


Privacy Policy

Carta's Privacy Policy can be located at https://carta.com/privacy.

 

Access to third-party content from this site, including content of Carta, Inc., parent company of Carta Capital Markets, LLC, may be available through framed areas or hyperlinks. Access to such content is for informational purposes only and does not constitute an explicit or implicit endorsement by eShares Inc. DBA Carta Capital Markets, LLC of such content as to accuracy, timeliness, completeness or usefulness.