HOMEABOUTPRODUCTSOSCAR GRUSSVENTURESMAKOR OTFPRESS Oscar Gruss Makor Group Makor Group officially acquired Oscar Gruss & Son Incorporate in 2014. Oscar Gruss continues to conduct business as usual, maintaining its unique brand name and market identity as a division of Makor. About Oscar Gruss OSCAR GRUSS HISTORY Oscar Gruss & Son Incorporated traces its roots back to 1918. It was in Poland, at the end of the First World War, that a young Oscar Gruss opened an office in the city of Lviv to trade in foreign currency. The core values of his business were integrity, hard work and the eternal pursuit of opportunity. Following this simple formula for success, the firm quickly grew to a staff of over fifty employees in both offices in Lviv and Warsaw, in the short span of a few years. In 1939, as the World War II raged in Europe, Oscar Gruss and his family left their growing business to flee to the United States. Oscar set out to repeat his earlier successes and in 1947, with the help of his son Emmanuel, established the New York Stock Exchange member firm that continues to bear his name. TODAY At a time when many Wall Street firms become impersonal and rife with conflicts, Oscar Gruss offers a rare blend of specialization, experience and capability. Our aim – provide our clients with the ideas to identify opportunities in the market and the means to realize them. In each of our major areas, we provide truly independent, conflict-free research and timely market information. Similarly, our sales and trading functions are designed to work with our clients – free from the distractions of any proprietary trading. As members of the New York Stock Exchange, we are able to execute orders on our clients’ behalf. We are active executors of equity and option orders, and also maintain both floor broker relationships and direct electronic connectivity to each of the regional exchanges. By concentrating our resources on certain niche areas, we are able to offer highly personalized service. We pride ourselves on knowing and understanding the needs and preferences of each of our clients, and delivering them efficiently time and again. IN THE FUTURE At Oscar Gruss, we believe that the values which have sustained our firm over the last eight decades will continue to do so in the coming years. Our business may grow, and our products may change to match opportunities in the markets and shifts in our clients’ requirements. One thing, however, will stay the same – our commitment to excellence, integrity and an outstanding level of service. Expertise ARBITRAGE DATABASE SPECIAL SITUATIONS ISRAEL ARBITRAGE DATABASE ARBITRAGE DATABASE ACCESS Ronen Cohen CEO & President at Oscar Gruss & Son Mr. Ronen Cohen has over 21 years of experience in the equity, options, and security industries as well as 18 years of experience in risk management. Previously, he worked as a sales trader in the Israeli Stock Exchange and at the Foreign exchange desk. Today Ronen Cohen is the President of Oscar Gruss & Son Inc., a wholly owned subsidiary of Makor Partners Ltd. Danielle Landau CFO/CCO at Oscar Gruss & Son Ms. Danielle Landau joined Oscar Gruss as the Controller in 2003. Prior to joining Oscar Gruss, she worked as a public accountant at Cornick, Garber, and Sandler, LLP, a public accounting firm. In 2010, Ms. Landau transferred from the Applicant’s Accounting Department to the Compliance Department. In 2014, Danielle transitioned to Chief Compliance Officer and Chief Financial Officer. On a daily basis, her responsibilities include, but are not limited to, the review of transactions, AML, and account documents to ensure compliance with rules and regulations set out by the SEC and FINRA. As FINOP, she maintains the financial books and records of the Company. Ms. Landau has over 18 years of experience in the combined fields of accounting and compliance. She received her Bachelors of Business Administration in Accounting from Pace University in 1998. Avi Avital Managing Director at Oscar Gruss & Son Mr. Avi Avital has been working for the company from 2005 as a sales trader and from 2009 as head of trading. His focus is managing the Israeli branch operations and sales and business development. Mr. Avital got his degree at Tel Aviv university Recanaty school of business. Timeline Oscar Gruss creation. Established in Poland 1918 1937 1968 1973 2014 Regulatory Disclosures SEC RULE 605 (AFTER JULY 2012) SEC RULE 606 (AFTER JULY 2012) SEC RULE 606 (AFTER 2015) BUSINESS CONTINUITY PLAN In accordance with regulatory requirements, Oscar Gruss & Son Incorporated has developed a plan in the event of a “Significant Business Disruption” (SBD). Under those regulations we are obligated to make available to our clients a summary of such plan. Please understand that the plan contains confidential details and proprietary information and therefore cannot be distributed outside the firm. We will review the plan annually and it may be amended at any time. Our plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only our firm‘s ability to communicate and do business, such as a fire in our building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or a wide-scale, regional disruption. Our response to an external DBS relies more heavily on other organizations and systems, especially on the capabilities of our clearing firm. Recovery-time objectives provide concrete goals to plan for and test against. They are not, however, hard and fast deadlines that must be met in every emergency situation, and various external factors surrounding a disruption, such as time of day, scope of disruption, and status of critical infrastructure – particularity telecomunications – can affect actual recovery times. Recovery refers to the restoration of clearing and settlement activities after a wide-scale disruption; resumption refers to the capacity to accept and process new transactions and payments after a wide-scale diruption. Our clearing firm has the following SBD recovery time and resumption objectives: recovery time period of 1 to 24 hours. The Firm’s recovery time for systems related matters is estimated at 20 to 30 minutes. If it is deemed necessary to move personnel we anticipate a recovery time, which taes into consideration travel, to be an hour and one-half. ANNUAL NOTIFICATION (SEC RULE 606) Annual Customer Notification Regarding Order Routing Practices Under the Securities and Exchange Act Rule 11AC1-6, Oscar Gruss & Son Incorporated is required to publish quarterly statistics regarding its customer agency order routing practices. The purpose of the report is to provide the public with information on how broker dealers route their customers’ orders, to enable customers (and others) to evaluate order routing practives. The Rule was adopted by the Securities and Exchange Commission to enhance market transparency and foster competition among market participants. This information is available on the internet via the links above and in hard copy for those who do not have access to the internet. The report is published by the end of the month following the calendar quater reported. The report is published by the end of the month following the calendar quarter reported. In addition to quarterly reports, information about the routing of individual customer orders is available to customers, upon written request for the prior six months of trading activity. REGULATION SP NOTICE (The following statement is provided in accordance with the requirements set forth by the United States Securities and Exchange Commission) We maintain non-public information about you obtained from applications or other forms received from you, credit reporting agencies and your transactions with us or others. We do not disclose any non-public personal information about our present or former customers to anyone, except as permitted by law. We restrict access to internal records containing non-public personal information about you to those employees and agents who, in our view, need access to such information in order for us to provide the services we make available to you. We maintain physical, electronic and procedural safeguards to protect your non-public information. PUBLIC DISCLOSURE NOTICE As a member of the Financial Industry Regulatory Authority (FINRA) Oscar Gruss & Son Incorporated is required to advise you of the fact that FINRA has a public hotline 1-800-289-9999 or you can use their internet website at www.finra.org as part of their “Public Disclosure Program”. Details of the Program can be found in FINRA’s Investor Brochure, which can be obtained from FINRA. Broker Check Check the background of this investment professional finra.orgsipc.org London New York Tel Aviv Paris Geneva Singapore Dallas Gibraltar Makor Securities Gossard House 7/8 Savile Row London, W1S 3PE ENGLAND Tel +44 207 290 5777 TERMS OF USE DISCLAIMER PRIVACY POLICY REGULATORY COMPLIANCE Got it!