The Imperial Capital, LLC Business Continuity Plan outlines our intended response to any events that might significantly disrupt our business. Although we must remain flexible in our response to actual events as they occur -- after all, the timing and impact of disasters and disruptions is unpredictable -- the following details regarding Imperial's business continuity plan are hereby made available for your information.
If after a significant business disruption you cannot contact us as you usually
do at 800-929-2299, call our alternative number 310-246-3700 or our New
York office number 212-351-9700. If you cannot access us through either of those
means, contact our clearing firm, Pershing LLC, at 800-729-6355 for instructions
on how it may process trade-related transactions and provide access to funds and securities
(including disbursements and/or transfers).
Our Business Continuity Plan
We plan to quickly recover and resume business operations after a significant
business disruption and respond by safeguarding our employees and property, making
a financial and operational assessment, protecting the firm’s books and records,
and allowing our customers to transact business. 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.
Our business continuity plan addresses: data back-up and recovery; all mission
critical systems; financial and operational assessments; alternative communications
with customers, employees, and regulators; alternate physical location of employees;
critical supplier, contractor, bank and counter-party impact; regulatory reporting;
and assuring our customers prompt access to their funds and securities if we are
unable to continue our business.
Our clearing firm, Pershing LLC, backs up our important records in a geographically
separate area. While every emergency situation poses unique problems based on external
factors, such as time of day and the severity of the disruption, we have been advised
by our clearing firm that its objective is to restore its own operations and be
able to complete existing transactions and accept new transactions and payments
within four (4) hours. Your orders and requests for funds and securities could be
delayed during this period.
Significant business disruptions can vary in their scope, such as those only
limited to our firm, a single building housing our firm, the business district where
our firm is located, the city where we are located, or the whole region. 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 our firm, we will
transfer our operations to a remote site when needed and expect to recover and resume
business within twenty-four (24) hours. In a disruption affecting our business district,
city, or region, we will transfer our operations to a site outside of the affected
area, and recover and resume business within twenty-four (24) hours. In either situation,
we plan to continue business and notify you through our website at
www.imperialcapital.com, e-mail or
our customer emergency number, 800-929-2299. If the significant
business disruption is so severe that it prevents us from remaining in business,
we will assure our customers' prompt access to their funds and securities.
For More Information
If you have questions about our business continuity planning, you can contact
us at 800-929-2299 or firstname.lastname@example.org.