Business Continuity Planning Disclosure Statement

ClearList Securities LLC
Member FINRA & SIPC

ClearList Securities LLC (“ClearList Securities” or the “Firm”) is committed to safeguarding the interests of our subscribers in the event of an emergency or significant business disruption.  This Business Continuity Plan (the “BCP”) Disclosure summarizes the Firm’s efforts to mitigate risks inherent with unforeseen business interruptions.  The Firm’s comprehensive business continuity strategy is designed to enable us to meet our existing obligations to our subscribers even in the event of an emergency or significant business disruption (“SBD”).  This BCP is intended to comply with the rules promulgated by the Financial Industry Regulatory Authority (“FINRA”).

The Firm’s policy is to respond to significant business disruptions by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the Firm’s books and records, and ensuring that our clients can continue to transact business. Examples of potential scenarios that might cause some changes to our regular business operations:

  • In the event a SBD of any type which affects our primary office in New York, we will transfer our business operations to one or more remote sites in the United States.
  • We do not anticipate that power outages at our primary office will require us to shut down our business.


No contingency plan can eliminate all risk of service interruption or temporarily impaired access to the Firm. We will evaluate and revise our BCP to address risks to the extent possible. In developing our BCP, we have made certain assumptions regarding accessibility and availability of alternative facilities, the ability of a sufficient number of our personnel to man our systems, and external organizations including securities markets and government agencies being operational. If these assumptions are not valid under particular circumstances, we will evaluate possibilities for minimizing the disruption to services as feasible at that time.

We will update the BCP as needed in the event of changes to our business processes, technology and staff. We will continue to post updated information on our website. Users may also obtain our current BCP summary by submitting a written request to: ClearList Securities LLC, ATTN: Business Continuity Plan, 40 Wall St., 38th Floor, New York, NY 10005.

Disclaimer

The Firm’s comprehensive business continuity strategy is designed to enable us to meet our existing obligations to our clients even in the event of an emergency or significant business disruption; however it is not without limits. The BCP is designed to work in many different emergency situations, but these events are, by their nature, unpredictable and it is impossible to anticipate every scenario that could cause a business disruption.

Although we are confident in our own preparedness, ClearList Securities has no control over the various entities that we must rely upon in the event of an emergency. Our BCP is tested periodically to ensure readiness. However, such tests may not be able to replicate the actual conditions we experience in a real emergency.

This BCP disclosure statement is subject to change without notice. In the event that the BCP or the BCP disclosure statement is modified, the updated document will be promptly posted on the ClearList Securities internet website. Alternatively, clients of the Firm may obtain an updated hard copy of the BCP disclosure statement upon request. The information contained in this BCP disclosure statement is provided by ClearList Securities for informational purposes only. Nothing contained herein shall be construed to amend, supplement or otherwise modify any of the terms and conditions set forth in any client agreement between you and ClearList Securities.

ClearList LLC
Member FINRA & SIPC

ClearList LLC (“ClearList” or the “Firm”) is committed to safeguarding the interests of our subscribers in the event of an emergency or significant business disruption.  This Business Continuity Plan (the “BCP”) Disclosure summarizes the Firm’s efforts to mitigate risks inherent with unforeseen business interruptions.  The Firm’s comprehensive business continuity strategy is designed to enable us to meet our existing obligations to our subscribers even in the event of an emergency or significant business disruption (“SBD”).  This BCP is intended to comply with the rules promulgated by the Financial Industry Regulatory Authority (“FINRA”).

The Firm’s policy is to respond to significant business disruptions by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the Firm’s books and records, and ensuring that our clients can continue to transact business. Examples of potential scenarios that might cause some changes to our regular business operations:

  • In the event a SBD of any type which affects our primary office in New York, we will transfer our business operations to one or more remote sites in the United States.
  • We do not anticipate that power outages at our primary office will require us to shut down our business.


No contingency plan can eliminate all risk of service interruption or temporarily impaired access to the Firm. We will evaluate and revise our BCP to address risks to the extent possible. In developing our BCP, we have made certain assumptions regarding accessibility and availability of alternative facilities, the ability of a sufficient number of our personnel to man our systems, and external organizations including securities markets and government agencies being operational. If these assumptions are not valid under particular circumstances, we will evaluate possibilities for minimizing the disruption to services as feasible at that time.

We will update the BCP as needed in the event of changes to our business processes, technology and staff. We will continue to post updated information on our website. Users may also obtain our current BCP summary by submitting a written request to: ClearList LLC, ATTN: Business Continuity Plan, 40 Wall St., 38th Floor, New York, NY 10005.

Disclaimer

The Firm’s comprehensive business continuity strategy is designed to enable us to meet our existing obligations to our clients even in the event of an emergency or significant business disruption; however it is not without limits. The BCP is designed to work in many different emergency situations, but these events are, by their nature, unpredictable and it is impossible to anticipate every scenario that could cause a business disruption.

Although we are confident in our own preparedness, ClearList Securities has no control over the various entities that we must rely upon in the event of an emergency. Our BCP is tested periodically to ensure readiness. However, such tests may not be able to replicate the actual conditions we experience in a real emergency.

This BCP disclosure statement is subject to change without notice. In the event that the BCP or the BCP disclosure statement is modified, the updated document will be promptly posted on the ClearList Securities internet website. Alternatively, clients of the Firm may obtain an updated hard copy of the BCP disclosure statement upon request. The information contained in this BCP disclosure statement is provided by ClearList Securities for informational purposes only. Nothing contained herein shall be construed to amend, supplement or otherwise modify any of the terms and conditions set forth in any client agreement between you and ClearList.