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Business Continuity Practices

Business Continuity Practices2019-02-27T13:12:39+00:00

Business Continuity Practices

January 30, 2019

Business Continuity Planning

Investacorp has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are unpredictable, we will maintain flexibility in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us – If after a significant business disruption you cannot contact us as you usually do by contacting your regular representative or contacting our main office at (305) 557-3000, you should go to our website at www.investacorp.com.

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 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, 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.

Varying Disruptions – Significant business disruptions can vary in their scope, such as only 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 local site when needed and expect to recover and resume business within four to six 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 expect to recover and resume business within 24 hours. In either situation, we plan to continue in business and notify you through our website www.investacorp.com. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities, typically through direct contact with our clearing agent, National Financial Services Corporation (“NFS”), or our product sponsors if your account is held directly with them.  You can find the appropriate telephone numbers are listed on a recent account statement from NFS or your product sponsor.

For more information – If you have questions about our business continuity planning, you can contact us at (305) 557-3000.