ASL Capital Markets Inc. (“ASL” or the “Firm”) 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 is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our Business Continuity Plan.
If, after a significant business disruption, you cannot contact us as you usually do, at: General line 203.388.2940, or via email at bcpinfo@aslcap.com, you should contact us at the General line at our disaster recovery site: 914.417.3034. In addition, you can always go to our web site www.aslcap.com for further instructions.
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 and protecting ASL’s books and records, and allowing the Firm to transact business. In short, our Business Continuity Plan is designed to permit ASL to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Our Business Continuity Plan addresses the following:
ASL has engaged a third-party provider to back-up our important records in a geographically separate area and provide technical services to ASL including disaster recovery services and an alternate physical location. Varying Disruptions – Significant business disruptions can vary in their scope, affecting, for example, ASL alone, the building in which ASL’s office is located, the business district where ASL 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 affecting only ASL or the building housing our office, we will utilize the technical resources of our third-party provider to resume operations remotely when needed and will target to recover and resume business within four to eight hours. In a disruption affecting our business district, city, or region, we will similarly resume operations remotely and will target to recover and resume business within one business day. In either situation, we plan to continue in business, transfer operations to an alternate location if necessary, and notify you through our web site www.aslcap.com or our customer emergency number, 203.388.2940 or 914.417.3034, on how to contact us.
If you have questions about our business continuity planning, you can contact the Chief Compliance Officer via email at compliance@aslcap.com.
