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Business Continuity Plan (BCP)

Alaris Trading Partners, LLC (“Alaris”) understands the importance of ensuring our customers have continued access to their funds and securities in the event our home office operations are impacted by a disaster. As a result, we have developed and maintain a business continuity plan that describes the means by which the Alaris home office operations in San Diego, CA will respond to future significant business disruptions of varying degrees of severity.

 

The Alaris home office operations in San Diego, CA are equipped for resumption of business in the event a significant business disruption affects the building, business district, city and/or the region. We will continue to conduct business during those disruptions and may choose to relocate key personnel and services to our designated backup facilities. 

 

Our transactions are cleared by our Clearing Firm, Goldman Sachs, which is located in a different region of the country. Several of our critical functions are performed in our affiliated office located in New Jersey however our affiliated office, as well as our Data Center provider and our Clearing Firm, have complete business continuity plans that include redundant operations, alternate facilities and recovery time objectives that support our plan.

 

In the event of a significant business disruption at the Alaris main location in San Diego, CA customers may contact the New Jersey office at 201-377-1200.

 

Please be advised that while we have detailed plans in place, we cannot guarantee we will be able to recover as quickly as outlined above under all possible circumstances. Our recovery time objective may be negatively impacted by the unavailability of third parties and/or other circumstances beyond our control.

 

Our business continuity plan is reviewed and tested throughout the year and is subject to modification. To obtain a complete copy of the Alaris business continuity plan, you may contact us at 858-617-6400 or 201-377-1200