Regulatory & Legal Disclosures

eShares, Inc. dba Carta, Inc. is a transfer agent registered with the U.S. Securities and Exchange Commission.

Vauban Advisers LLC is an investment adviser that reports to the Securities and Exchange Commission as an exempt reporting advisor.

Carta Asia Private Limited is licensed as a Registered Filing Agent (RFA) under Section 28F of the Accounting and Corporate Regulatory Authority Act as regulated by the Account and Corporate Regulatory Authority (ACRA).

Vauban Technologies Limited is supervised by the Financial Conduct Authority for anti-money laundering.

Vauban Capital Lux Sàrl is a sub-threshold alternative investment fund manager (gestionnaire de fonds d’investissement alternatif) registered with the Luxembourg Commission de Surveillance du Secteur Financier (CSSF).

Carta Lux Sàrl, a private limited liability company (société à responsabilité limitée) governed by the laws of the Grand Duchy of Luxembourg, is in the process of seeking a specialised PSF authorisation of the financial sector with the CSSF to act as an Undertaking for Collective Investment Administrator.

Carta Middle East Limited (CMEL), a private company limited by shares incorporated under the laws of the Abu Dhabi Global Market (ADGM). CMEL is in the process of seeking a license with the Financial Services Regulatory Authority (FSRA) to act as an Administrator of a Collective Investment Fund.

Carta does not provide securities brokerage services. The Company is not registered as a securities broker/dealer with either the U.S. Securities and Exchange Commission or with any U.S. state securities regulatory authority.

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.

Blogs and Social Media

Views expressed in “blogs” or “posts” (including social media post as “Social Media”) and those of the individual personnel may not be the views of Carta, Vauban Advisers or its respective affiliates. All information, including statements of fact, contained on this website or in Social Media has been obtained and compiled in good faith from sources believed to be reliable. However, no representation or warranty, expressed or implied, is made by Carta with respect to the completeness or accuracy of its contents, and it is not to be relied upon as authoritative and should not be regarded as a substitute for the exercise of a reasoned and independent judgement. Carta accepts no liability whatsoever for any direct or consequential loss arising from the use of the information herein or in Social Media.

The terms of any product, service, including costs, and other characteristics, are set forth in the applicable contractual documents for such product or service and may differ materially from those presented online. Such terms are subject to change without notice.

This website and all Social Media has been prepared for informational purposes only and is not an offer to buy or sell or a solicitation of any offer to buy or sell any security or other financial instrument or to participate in any trading or investment strategy.

This website and all Social Media is not, and should not be construed to be investment advice (as defined under the Employee Retirement Income Security Act of 1974, as amended 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.This material is not, and is not intended to be, a “research report”, “investment research” or “independent research” as may be defined in applicable laws and regulations worldwide. Nothing here in or in social media has not been prepared in accordance with legal requirements to promote the independence of research, including but not limited to, the prohibition on the dealing ahead of the dissemination of investment research.

The information contained herein is not intended as tax, legal, regulatory, accounting or investment advice. Neither eShares, Inc. DBA Carta, Inc. nor any of its affiliates render advice on tax and tax accounting matters. By providing this information we are not advising you to take any particular action based on the information or opinions (if any) contained herein. Prior to entering into any transaction, you should consult with your own personal tax, accounting and/or legal advisor.

KYC and USA PATRIOT ACT

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, Carta obtains, verifies, and records information that identifies each individual or institution that opens an account or establishes a customer relationship with us.

Carta complies with applicable anti-money laundering laws and regulations, including the relevant provisions of the Bank Secrecy Act (BSA), as amended by the USA PATRIOT Act of 2001 and its implementing regulations and related government rules and regulations, as well as regulations issued by the US Department of Treasury, and Office of Foreign Assets Control (OFAC).

Customer Identification Procedure (CIP) Notice:

When provided, the information collected and verified will be stored according to the following requirements:

Identifying information about a customer obtained under Carta’s CIP Program;
A description of any document that was relied on noting the type of document, any identification number contained in the document, the place of issuance and, if any, the date of issuance and expiration date;
A description of the methods and the results of any measures undertaken to verify the identity of the customer; and
A description of the resolution of any substantive discrepancy discovered when verifying the identifying information obtained

Business Continuity Program

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 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.

Privacy Policy

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