Business Continuity Plan Summary Statement
This document addresses the Business Continuity Plan of Rockwell Global Capital LLC (“Rockwell”). The purpose of this plan is to ensure Rockwell's uninterrupted operations and/or restoration of its business and operations in the most efficient and timely manner in case of an internal or external SBD (Significant Business Disruption). Rockwell clears its securities business through Pershing, LLC (“Pershing”) and Pershing carries accounts and maintains assets of Rockwell’s clients.
Pershing, LLC backs up our important records in a geographically separate area from where they and the Firm conduct itsbusiness. While every emergency situation poses unique problems based upon external factors, such as time of day and the severity of the disruption, we have been advised by Pershing that its objective is to restore its own operations and be able tocomplete existing transactions and accept new transactions and payments within a reasonable period of time. Your orders and requests for funds and securities could be delayed during this period.
A disruption can be caused by any accidental, natural or man-made malicious event that threatens or does disrupt normal operations or services for sufficient time to affect significantly, or cause failure to, an organization.
Business disruptions, by their nature, can vary greatly in size, scope and duration. In a disruption to only our firm or a buildinghousing our firm, we will recover our backed-up data and transfer our operations to a local site when needed and expect to recover and resume business within one business day. In a disruption affecting our business district, city, or region, we willtransfer our operations to a site outside of the affected area,and recover and resume business within three business days. In either situation , we plan to continue in business, transfer day-to-day operations to Pershing, LLC if necessary, and notify you through our website.
Our Business Continuity Plan
Our goal is to quickly recover and resume business operations after a SBD and respond by safeguarding our employee’s livesand the Firm property, making a financial and operational assessment, quickly recovering and resuming operations, protectingall of the Firm's books and records, and allowing our customers to transact business.
Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operationalassessments; alternative communications with customers, employees, and regulators; critical suppliers, contractors, banks and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we’re unable to continue our business.
If after a significant business disruption you cannot contact us as you usually do by calling our office telephone at (631) 608-2000 or by email at firstname.lastname@example.org, you should call our alternative number (866) 757-9733 (toll free), or look for more information at our website, www.rockwellglobal.com. If you cannot contact us through either of those means, you shouldcontact us through our clearing firm, RBC Capital Markets, at 800-949-0242, or go to www.rbccm.com for instructions on how it may provide access to your accounts, securities, enter trade orders or provide other services related to yours account. In the eventof a SBD, you may still view your account holdings through www.rockwellglobal.com or you may contact Pershing to have your account set up for online access.
Emergency Contact Persons
Our Firm's two emergency contact people are:
Bruce Guarino, President: (631) 608-2000
Glen Stifelman, Chief Compliance Officer: (631) 608-2000
Updates and Annual Review
Our Firm will update this plan whenever there is a material change to our operations, structure, business or location or those ofour clearing firm. In addition, our Firm will review this BCP periodically.
Should the firm be unable to recover from a disaster, the firm will follow SIPC liquidation procedures. For any questionsregarding this Business Continuance Plan, please contact our compliance department at (631) 608-2000.